siemens integrity initiative annual report 2020

Siemens Integrity Initiative Annual Report 2020

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Content

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A WORD FROM THE SIEMENS INTEGRITY INITIATIVE STEERING COMMITTEE A WORD FROM THE SIEMENS INTEGRITY INITIATIVE PROJECT OFFICE

INTRODUCTION Project management and reporting Project organization

SIEMENS INTEGRITY INITIATIVE Status of the First Funding RoundStatus of the Second Funding Round Status of the Third Funding Round

PROJECT PROFILES AND HIGHLIGHTS OF ACTIVITIES IN 2020 C1. First Funding Round Projects C2. Second Funding Round Projects C3. Third Funding Round Projects

ANNEX D1. Additional Siemens Reports

Note:

Please refer to the following website for a general overview of the Siemens Integrity Initiative, the selection process for the First, Second and Third Funding Rounds and highlights of activities: www.siemens.com/integrity-initiative.

The Siemens Integrity Initiative Annual Report 2011, 2012, 2013, 2014, 2015, 2016, 2017, 2018, 2019 and 2020 can be found here:

www.siemens.com/integrity-initiative/Report2011




Kindly note that the online version of this Annual Report 2020, available at www.siemens.com/integrity-initiative/Report2020, is complemented by numerous hyperlinks which provide a wealth of additional external information on the projects funded under the Siemens Integrity Initiative.

A.

B.

C.

D.

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Foreword4 8

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202223 24

4042 44 50

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http://www.siemens.com/integrity-initiative/Report2020

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Once again, we can look back on an exciting and very eventful year 2020, which was cer-tainly a global and wide-ranging challenge for all of us. In the eleventh year of implementa-tion of the Siemens Integrity Initiative, which we designed and subsequently launched in 2009, we are delighted to report that as of March 2, 2021 around USD 98,5 million has been committed to 77 projects in more than 40 countries. We continue as one of the largest private sector initiatives aimed at fighting corruption and promoting fair markets.

As the Steering Committee, we have received regular updates on the progress of the activi-ties from the Project Office and their cross-functional team, and are convinced that the actual portfolio of the Third Funding Round is ideally placed to drive Collective Action –

our shared fight against corruption and the promotion of responsible business conduct and integrity – forward in the defined thematic areas, which include for example creating alli-ances, strengthening the rule of law, strength-ening voluntary standards, creating incentives for good performers, curricula development, capacity building, platforms for dialog and knowledge sharing.

11 years since the start of these activities is a long time and endurance is called for, but it has been and is still worth every single step. So many committed stakeholders have been mobilized at all levels during this time – whether globally or in individual countries and business sectors. What ultimately counts is that we do not give up when the going gets tough and that we keep on working.

A Word from the Siemens Integrity Initiative Steering Committee

A Word from the Siemens Integrity Initiative Project Office

Dear Reader, May 2021

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A WORD FROM THE SIEMENS INTEGRITY INITIATIVE

Steering Committee

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We are therefore particularly pleased to inform that building on the Third Funding Round, we have invited selected short-listed candidates in December 2020 to submit applications for additional funding, the so-called “Golden Stretch Round”, the outcomes of which we will report in more detail in our next Annual Report 2021, when having finalized the due diligence, alignment and funding contract phase.

At this point we would like to thank our com-mitted Integrity Partners throughout the world. Through their project work together with our stakeholders, they have driven forward the key anti-corruption topics both at the highest levels of engagement and on the ground at institu-tional level. It is their commitment that has made real the project implementation where details and fulfillment of set goals and mile-stones matter.

You will find an overview of the most recent accomplishments of the Integrity Initiative in this Annual Report 2020, with an exciting and impressive summary of project activities and outcomes in Section C based on information provided by our Integrity Partners as of key date March 2, 2021.

Our activities in 2020 coincide with the imple-mentation of one of the most significant changes to the Siemens Group: the new set-up of our business activities around the world – with a current headcount of around 293 000 employees and a turnover of 57,1 billion euros in 2019/2020 – enabling us to operate in a more focused manner in the individual markets.

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This implementation included the spin-off of Siemens’ Gas and Power Division, which became an independent, publicly listed com-pany – Siemens Energy – on September 18, 2020. As a result, our Siemens brand

293,000 Employees

€ 57.1 billion Revenue

€

€ 4.3 billion net income

€

14.3 % adjusted EBITA margin for the Industrial Businesses

comprises “Siemens AG” as a focused industrial company together with “Siemens Healthineers”, which has already been carved out, and since September 2020 the new company “Siemens Energy”.

As a technology company, we support our customers in their industry – both today and tomorrow continuing operations

Source: Siemens Sustainability Information 2020, Page 14

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Steering Committee of the Siemens Integrity Initiative:

Dr. Andreas Christian Hoffmann General Counsel, Siemens AG

Annette Kraus Chief Compliance Officer, Siemens AG

Dr. Horst J. Kayser Corporate Vice President and Chairman of the Siemens Portfolio Companies (POC), Siemens AG

The global strength of our Siemens brand and our associated values – responsible, innovative and excellent – are of utmost importance to us always. Through our businesses and activities, we continue to make a positive and sustainable overall contribution to shaping society and make real what matters.

And it is precisely here that Collective Action and the Siemens Integrity Initiative come into play: transforming the everyday from Collec-tive Action to Collective Impact, giving some-thing back to society on a broader level and contributing to fairer and more transparent markets for all stakeholders.

It is with appreciation that we would like to thank Sabine Zindera and her team, who designed the Collective Action program and the Siemens Integrity Initiative at the outset and have worked constantly ever since at the international level to drive them forward with long-term strategic perspective and in-depth project management and we look forward to adding new projects under the “Golden Stretch Round” in 2021.

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“We know worldwide sustainable development can´t be achieved alone. Our partnerships with international players, business associations, think tanks, nonprofit organizations, and academic institutions make us better able to cope with current and future challenges”.

This strong commitment of our then Siemens AG CEO Joe Kaeser and then deputy CEO Dr. Roland Busch in the Siemens Sustainability Information 2020 supports our long-standing work in Collective Action which ensures practical implementation of the Sustainable Development Goal 16 “Peace, Justice and Strong Institutions”.

And it continues: “Compliance means much more to us than simply adhering to laws and internal rules. Compliance forms the basis for all our decisions and activities, and it is the key to business integrity. Beyond that, we stand behind the Ten Principles of the Global Compact as well as the United Nations Guiding

Principles on Business and Human Rights. As part of our push for Collective Action, we are establishing alliances with numerous orga-nizations to fight corruption and promote fair market competition world-wide. The Siemens Integrity Initiative focuses on supporting proj-ects with a significant business connection; by the end of fiscal 2020, it had provided about U.S. $98,5 million in funding for 77 projects worldwide.”

As we look back on 11 years of implementation of the Siemens Integrity Initiative – established in 2009 on the basis of the settlements reached with the World Bank in 2009 and the European Investment Bank in 2013 and backed with funding well in excess of USD 100 million – we at the Project Office are convinced that we have been able to make a significant pri-vate sector contribution – as assessed by the independent Mid-term Review of the Initiative published in our 2017 Annual Report –



Dear Reader, May 2021

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A WORD FROM THE SIEMENS INTEGRITY INITIATIVE

Project Office

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to achieving the goals outlined above and will continue to do so in the future.

Our 22 Third Funding Round projects started the implementation phase in 2019 and are running at full steam despite the many Corona pandemic challenges and burdens.

It should be emphasized that in this difficult phase, our Project Partners have responded quickly with innovative solutions to keep activi-ties moving through virtual collaboration, online training and conference options and prioritization of research and desk-based activities where necessary and possible.

Our Partners and we in the Project Office alike have accepted the additional challenges prag-matically and bravely. While all parties involved are working toward the set goals, the full extent of restrictions, delays or setbacks due to turbulence in the external or internal business environment remains to be seen. However, our expectations are clear, and that is to do our

very best every day in making sure that imple-mentation of the agreed targets progresses well.

You can find further information about the status of the Third Funding Round in Section B of this Annual Report 2020.

And the good news is, that there is more to come and more activities to be funded. We are happy to report that in alignment with our Steering Committee, the World Bank and the European Investment Bank, we have in December 2020 invited selected short-listed candidates of the Third Funding Round to sub-mit applications for additional funding that largely build upon the current activities of the ongoing Third Round.

The applications for the so-called “Golden Stretch Round” must in particular demonstrate how the sustainability of project activities and results into the future will be ensured.

By the submission due date of February 15, 2021 we received interesting and multi-facet-ted proposals, which as of March 2, 2021, are in the cross-functional due diligence process in collaboration with the relevant in-country Compliance experts, Finance and Tax experts, and Siemens’ Legal department, and which once completed will be followed by Siemens Steering Committee approval and the World Bank’s non-veto process.

In preparing this “Golden Stretch Round” we will naturally once again build upon and con-sider various aspects of our published Selection and Eligibility Criteria such as the tailor made regional, global and thematic mix in order to complement our balanced portfolio and its local activities in more than 40 countries.

We look very much forward to finalizing the due diligence, alignment and funding contract phase and will report about the details and new developments in our Annual Report 2021.

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Over the last decade, the Collective Action method has met with international recognition among international and regional organizations as well as government and private sector repre-sentatives. We are proud to say that, with to date 77 projects worldwide, we have been able to make a valuable, demonstrable contribution to practical implementation as well as inspiring many stakeholders to support our cause.

This practical and real implementation reflects our ambition to deliver “more than just a paper”. This is also acknowledged in the Busi-ness 20, an official Engagement Group of the political G20. In 2021 we were again accred-ited as a member of the B20 Task Force on Integrity & Compliance, and we are delighted to be able to lend our professional support to the strategic principles of the Italian B20 Presi-dency “Reshape the Future: Include, Share, Act” through our work in conjunction with our projects. And it is exactly here that we can contribute "more than just paper", because the



many examples in this report of practical implementation by our Project Partners should and can inspire others to either support these projects or to set up similar good new projects which fit precisely to the respective business environment.

As reported, all projects from our First Funding Round have been completed as planned. The Final Report on these activities over the entire project period has already been presented in earlier editions of the Annual Report. This year, we have therefore focused on our projects from the Second and Third Funding Rounds.

Of the 24 Second Funding Round projects, two Final Reports were presented in our Annual Report 2017, ten Final Reports in Annual Report 2018, and a further 10 Final Reports in last year’s Annual Report 2019. These Final Reports cover the activities over the entire proj-ect period. In this year’s Annual Report 2020, two remaining projects, as described in Section C, have submitted their Final Reports on activi-ties over the entire project period.

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A very special word of gratitude and apprecia-tion goes to our Steering Committee, which has received regular, detailed updates about the Integrity Initiative throughout 2020 and has continued to support us with valuable advice and supervision, helping us to think ahead with optimism, to conceptualize the “Golden Stretch Round” and to provide clear direction in aligning our actions and activities especially in these turbulent times.

Finally and very importantly, we would like to express our wholehearted gratitude to our Integrity Partners, without whose tireless com-mitment and multifaceted work on the ground it would not have been possible to put the proj-ects into practice. We would also like to thank our Project Relationship Managers for their dedicated, meticulous support at the local level, and naturally our high-level Mentors for their local insight and guidance.

Sabine Zindera and Shawn Teixeira

For the Project Office of the Siemens Integrity Initiative

The Collective Action and External Affairs team is headquartered in Munich, Germany:

Sabine Zindera, Vice President, heads the Col-lective Action and External Affairs department in the Siemens Legal and Compliance Organiza-tion and is supported by Shawn Teixeira and Monika Besel, as well as the network of Siemens Business Leaders, Siemens Country CEOs, Compliance Officers, Controlling and Finance, Legal and Tax experts all around the world.

This Annual Report was approved by the Siemens Steering Committee on May 11, 2021 and submitted together with a comprehensive presentation to the World Bank Group in Washington on May 12, 2021 and to the European Investment Bank in Luxembourg on May 18, 2021

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Under the terms of the agreement between Siemens and the World Bank, the World Bank has audit rights over the use of funds (USD 100 million dollars over 15 years beginning in 2009) and veto rights over Siemens’ selection of projects and organizations to be supported. Furthermore, the agreement between Siemens and the European Investment Bank (EUR 13,64 million over 5 years) gives the EIB the right to reject proposed projects.

The projects were chosen according to defined selection criteria and focus areas and underwent a detailed cross- functional due diligence. More information is available on our dedicated web site www.siemens.com/integrity-initiative.

The Siemens Integrity Initiative is managed by a global project organization with in-country presence and support where rele-vant and is subject to project management rules as detailed in Section A of this report.

The Project Office regularly updates the Siemens Steering Committee, the World Bank Group and the European Investment Bank on the status and progress of the Siemens Integrity Initiative.


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Much of the information available to us is transparently accessible to the public and can be viewed on our dedicated web site www.siemens.com/integrity-initiative.

The information provided relates in particular to the framework conditions for the First, Second and Third Funding Rounds, the applica-tion and selection process for the projects, brief profiles and the funds earmarked for the individual projects, and unabridged versions of the Siemens Integrity Initiative Annual Reports for 2011, 2012, 2013, 2014, 2015, 2016, 2017, 2018, 2019 and 2020.

Two editions stand out and merit further mention:

Our very first 2011 edition introduced to you the Siemens Collective Action program, and in Sections A and B of the report provided insight into the conceptualization, planning, project selection, award of funds and project imple-mentation relating to the First Funding Round tranche of USD 37,7 million.

Our seventh 2017 edition signaled the halfway mark of the 15-year World Bank settlement period and featured a Summary Report of the external Mid-term Review of the Integrity Initiative in Section D. The Mid-term Review was independently conducted by the Canadian Universalia Management Group who found

there to be “strong evidence” that projects have “achieved their intended short-term results” and have made “significant contributions to change within their respective contexts”.

We hope that this will encourage additional allies to sign up to Collective Action and join us in our fight against corruption. The positive external and internal feedback received in response to our reports, and especially to our externally conducted Mid-term Review has strengthened our resolve to extend our pro-gram even further, enabling us to highlight more and more anti-corruption success stories across all countries and, in so doing, integrate additional stakeholders and activities.


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Introduction

A.The main objective of the Siemens Integrity Initiative is to create fair market

conditions for all market participants by fighting corruption and fraud

through Collective Action as well as Education and Training.

The Initiative focuses on supporting projects that have a clear impact on the

business environment, can demonstrate objective and measurable results,

and have the potential to be scaled up and replicated.

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Introduction

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The Siemens Integrity Initiative aims to:

• Raise standards and create awareness of compliance and business integrity

• Create a common platform for dialog with the private and public sectors

• Strengthen the rule of law

Under the umbrella of the Siemens Integrity Initiative, Siemens will disburse funds to support non-profit organizations worldwide that promote business integrity and the fight against corruption.

Moving beyond the boundaries of our com-pany, Collective Action continues as a priority in Siemens Legal and Compliance. This is evi-denced by our long-standing involvement in the ICC Commission on Corporate Responsibility

and Anti-corruption, the Pact Against Corrup-tion Initiative (PACI) of the World Economic Forum and, since 2011, our active involvement in the G20/B20 Task Force on Anti-corruption and the drafting and implementation support of B20 Recommendations drawn up in France, Mexico, Russia, Australia, Turkey, China, Germany, Argentina, Japan and Saudi Arabia.

We remain committed to the 10 principles of the United Nations Global Compact, and sup-port the implementation of the United Nations Convention against Corruption, as well as the OECD Anti-Bribery Convention. These principles and conventions guided our thematic consider-ations in project designs which were taken up by our Integrity Partners for implementation through certain modules in our Siemens Integrity Initiative projects.

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• Responsibility for managing the projects funded under the Siemens Integrity Initiative lies with the respective Integrity Partner. Siemens supports projects financially, moni-tors the use of funds in a biannual reporting process, and participates in activities where appropriate and requested by the Integrity Partner

• The main points relating to the management of projects are regulated in a Funding Agreement between Siemens and the Integrity Partners and its Project Partners

• Funds are paid out subject to the achieve-ment of milestones and on a biannual basis

• Integrity Partners report annually on progress, funds used and work plans for the next year. All Annual Reports must be accompanied by a financial report that has been audited by an external audit company. Regular Interim Reports help to review progress throughout the year. All Annual Reports must be reviewed and approved by the local Siemens Project Relationship Manager, the Siemens Finance Department, and the Siemens Integrity Initia-tive Project Office

Project management and reporting

A. Introduction

• Siemens has set up an internal project structure for selecting projects and for supporting and monitoring projects during the implementation phase, as well as a system for capturing and evaluating impact

• Siemens supports all projects with a designated Project Relationship Manager and a Mentor from senior management

• Country-specific projects, for example, can draw on the CEO of the local Siemens company as their Mentor. All Project Rela-tionship Managers (PRMs) are coordinated by the Siemens Integrity Initiative Project Office (see also Project Organization)

• A project completion process is in place which includes the submission of a Final Report, consisting of a Final Progress Report and an Audit Report with project financials prepared by an independent Auditor, as well as the submission of an End of Project Evaluation and a Final Payment Request

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Roles and responsibilities of Project Relationship Managers and Mentors:

Monitoring role• Approval of progress of projects

(reporting)• Approval of external communication

with Corporate Communications and with relevant departments

• Project Steering Committee Meetings

Support role• First contact point for

Integrity Partner• Create success stories• Knowledge sharing• Participation in project activities

Support role• Representation at local high-level

events / Project Steering Committee Meetings (only from time to time, and if needed)

• High-level communication activities (use success stories)

Link to Project Office• Project Office calls upon Mentor when

needed• Provide high-level support in resolving

of issues / challenges• Represent project at global high-level

events

PRM / PO calls upon Mentor when needed

Ensures coherence amongportfolio of projects

Project Relationship Manager (PRM)

Siemens Integrity Initiative Project Office (PO)

Mentor for local / global projects

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• The internal Siemens project management structure of the Initiative consists of several dedicated teams that provide overall supervi-sion and guidance (such as the Steering Committee) and deal with daily operations of the Initiative (Siemens Project Office, Project Team and Project Relationship Managers)

• To make this Initiative a company-wide effort and ensure engagement and representation, all relevant business fields of Siemens have been integrated into the structure of the Initiative

• The main operational contact for this Initia-tive is the Siemens Project Office in Munich and operates with four people globally, and is in addition supported by an extended Project Team from various Siemens depart-ments (Legal and Compliance, Finance, Tax, Strategy, Communications and Compliance colleagues in all relevant countries)

Project organization

A. Introduction

• The Project Office is the main link to the World Bank Group with regard to the audit and veto rights as well as reporting obliga-tions. It is also the main link to the European Investment Bank (EIB) with regard to their rights to reject projects proposed as well as reporting obligations

• The work of the Project Office and Project Team is overseen by the Siemens Integrity Initiative Steering Committee, which consists of Dr. Andreas Christian Hoffmann, General Counsel, Siemens AG; Ms. Annette Kraus, Chief Compliance Officer, Siemens AG; and Dr. Horst J. Kayser, Corporate Vice President, Chairman of the Siemens Portfolio Compa-nies (POC), Siemens AG

• As the World Bank Group has veto and audit rights, and the European Investment Bank has the right to reject proposed projects, they have set up a team of experts to liaise with Siemens regarding the Siemens Integ-rity Initiative, as shown in the chart

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✓ Veto rights over the selection of projects

✓ Audit right over the use of fu nds✓ Regular reporting on progress

and work plans

World Bank European Investment Bank

• Governance Global Practice (GGP)

• Integrity Vice Presidency (INT)

• Legal Vice Presidency (LEG)

• External Communications (ECR)

Siemens

• Dr. Andreas C. Hoffmann, General Counsel

• Dr. Horst J. Kayser, Corporate Vice President, Chairman of the Siemens Portfolio Companies (POC)

• Annette Kraus, Chief Compliance Officer

✓ Right to reject the projects proposed

✓ Regular reporting on progress and work plans

• Head of Fraud Investigations

Siemens Integrity Initiative project structure with settlement parties:

World Bank Working Group Siemens Integrity Initiative

Siemens Integrity InitiativeSteering Committee

Siemens Managing Board

European Investment BankSiemens Integrity Initiative

Siemens Integrity InitiativeProject Office

Siemens Integrity InitiativeProject Team

Strategy Communications

Legal

Finance and Tax

Regions and Divisions

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Siemens Integrity Initiative

B.On July 2, 2009, the World Bank Group announced a comprehensive settle-

ment with Siemens. As part of the settlement, Siemens agreed to cooperate

to change industry practices, clean up procurement practices and engage in

Collective Action with the World Bank Group to fight fraud and corruption.

Siemens subsequently set up the Siemens Integrity Initiative to support

projects and organizations fighting corruption and fraud with funding worth

USD 100 million over the next 15 years.

This funding was complemented on March 15, 2013 by a separate settlement

with the European Investment Bank (EIB), worth EUR 13,64 million over five

years.

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In the First Funding Round, thirty-one projects from over twenty countries were selected to receive a total funding of up to USD 40 million.

As reported in our Annual Report 2016, as at March 3, 2017, all 31 projects had completed their scheduled activities.

The final overviews of activities for the entire project period were reported on in various Siemens Integrity Initiative Annual Reports from 2011 to 2017.

These projects are marked in the table on page 26 and further information on the projects is available on www.siemens.com/integrity-initiative.

For information on Collective Action, the Siemens Integrity Initiative, the selection pro-cess and criteria, and funded projects, please visit www.siemens.com/collective-action.

A detailed description of activities implemented during the first to the seventh year (2011 to 2017) was provided in the Siemens Integrity Initiative Annual Report 2011, 2012, 2013, 2014, 2015, 2016 and 2017.

Status of the First Funding Round

B. Siemens Integrity Initiative

Key data First Funding Round

Funds committed in the First Funding Round

USD 37,7 M

Disbursements in year 1 to year 8 (2010 – June 30, 2018) (release of provision)

USD 34,8 M 1)

Disbursement for Mid-term Review of the Siemens Integrity Initiative per-formed by Universalia Management Group finalized and presented to the World Bank on December 6, 2017 cover-ing the First and Second Funding Rounds

USD 0,18 M

Funds unspent USD ~2,7 M

No further planned disbursements USD 0,0 M

Number of projects First Funding Round 31

Thereof projects that have completed their activities

31

Thereof ongoing 0

Countries covered in the First Funding Round

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Note: Siemens fiscal year (October 1 – September 30) Due to rounding, numbers presented may not add up precisely to the totals provided.

1) The information provided in this table is based on all approved First Funding Round Final Reports











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Key data Second Funding Round

Funds committed in the Second Funding Round

USD 35,554 M

Disbursements in year 1 to year 7 (2015 to March 02, 2021) (release of provision)

USD 33,99 M1)

Funds currently unspent USD ~ 1,6 M

Further planned disbursement in year 7 (2021)

USD - 0,1 M

Number of projects 24


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Thereof ongoing 0

Countries covered in the Second Funding Round

More than 20

Note: Siemens fiscal year (October 1 – September 30). Due to rounding, numbers presented may not add up precisely to the totals provided.

1) The information provided in this table is based on approved Annual and Final Reports as at March 02, 2021

Status of the Second Funding Round

The Second Funding Round applies the same selection criteria and focus areas as the First Round. As the Second Round is based on the settlement agreements with the World Bank Group and the European Investment Bank, the World Bank Group has audit rights over the use of funds (USD 100 million over a period of 15 years beginning in 2009) and veto rights over the selection of projects by Siemens. The agree-ment between Siemens and the European Investment Bank (EUR 13,64 million over five years) gives the EIB the right to reject the proj-ects proposed.

The Second Funding Round, with a funding vol-ume of approximately USD 30 million for up to 25 projects plus additional projects funded on the basis of the settlement with the European Investment Bank, was launched on June 27, 2013 with a deadline for submission of propos-als in August 2013.

The gradual announcement of the selected projects from the Second Funding Round started in fall 2014 and stretched until spring 2015. 24 projects were selected for funding in the Second Funding Round with a total commit-ted capital of USD 35,554 million.

The selection was made on a competitive basis in two stages (initial Expression of Interest phase and the later Full Proposal phase) with a

focus on project applications that demonstrate a clear impact on the business environment and results in sectors and countries of where Siemens is present. Projects that already sub-mitted an Expression of Interest for the First Funding Round as well as projects that have already been funded were eligible to submit another proposal in the Second Funding Round.

The announcement, application process and selection criteria were made available transpar-ently on the Siemens Integrity Initiative web-site. The initial first projects were announced in a joint press release published by Siemens, the World Bank Group and the European Invest-ment Bank on December 10, 2014 (see www.siemens.com/integrity-initiative or Section D of the Annual Report 2014).

The final overviews of activities for the entire project period were reported on for 22 of the 24 projects in our Annual Report 2017 (2 proj-ects), Annual Report 2018 (10 projects) and Annual Report 2019 (10 Projects) respectively. In this Annual Report 2020, final overviews of activities are reported on for the remaining 2 projects. These projects are marked in the table on page 30 and further information on the projects is available on www.siemens.com/integrity-initiative.

More information on the settlements between Siemens and the World Bank Group and Siemens and the European Investment Bank (EIB) is available online as well as on the Siemens Integrity Initiative website: www.siemens.com/integrity-initiative.





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The Siemens Integrity Initiative announced the launch of the Third Funding Round in its Press Release on March 13, 2018 as part of the July 2009 settlement between Siemens and the World Bank and the March 2013 settlement between Siemens and the European Invest-ment Bank (EIB).

Open to applications from legal entities such as non-governmental organizations, international organizations, business associations, and aca-demic institutions, the Siemens Integrity Initia-tive selection process is made on a competitive basis in two stages (initial Expression of Inter-est phase and the final Full Proposal phase), and favors project proposals that have a direct impact on the private sector and strengthen compliance standards and legal systems.

Entities that submitted Expressions of Interest for the first two funding rounds as well as enti-ties that received funding in the first two fund-ing rounds were also eligible to submit propos-als for funding in the Third Funding Round.

Status of the Third Funding Round


The Project Office was truly encouraged by around 140 Expressions of Interest received by the May 8, 2018 deadline. These Expressions of Interest were submitted by local and global organizations dedicated to the fight against corruption and covered a wide range of Collec-tive Action and Education and Training initia-tives with very interesting and relevant activi-ties proposed in over 50 countries. The total funding of more than USD 280 million applied for exceeded available funds by a factor of 9.

Siemens conducted a cross functional review and due diligence of all Expressions of Interest with reference to the stated Eligibility and Selection Criteria available at www.siemens.com/integrity-initiative.

After receiving approval from the Siemens Steering Committee as well as the World Bank non-veto and the European Investment Bank no objection decisions for short-listed projects under consideration, around 30 appli-cant organizations were invited in November 2018 to submit Full Proposals by January 31, 2019.

www.siemens.com/integrity-initiative

www.siemens.com/integrity-initiative

25

Following a second detailed cross functional review and due diligence of all submitted Full Proposals, Siemens announced the first group of projects selected under the Third Funding Round in its Press Release on December 16, 2019.

All Third Funding Round funding agreements were signed as at March 2, 2020, ultimately adding to the Siemens Integrity Initiative port-folio 22 new projects from more than 40 coun-tries with committed funding of up to USD 25,2 million.

More information on the eligibility and selection criteria as well as the application and selection process is available on our web site at www.siemens.com/integrity-initiative.

Projects selected for funding under the Third Funding Round are listed in the table on page 34, and further information on the projects is available on www.siemens.com/integrity-initiative.

Key data Third Funding Round

Funds committed in the Third Funding Round

USD 25,2 M

Disbursements in year 1 to year 2 (2019 to March 02, 2021) (release of provision)

USD 7,7 M1)

Funds currently unspent USD ~ 17,5 M

Further planned disbursement in year 2 (2021)

USD ~ 6,7 M

Number of projects 22


0

Thereof ongoing 22

Countries covered in the Third Funding Round

More than 40

Note: Siemens fiscal year (October 1 – September 30). Due to rounding, numbers presented may not add up precisely to the totals provided.

1) The information provided in this table is based on approved Annual Reports as at March 02, 2021




26


List of projects funded under the First Funding Round:

Integrity Partner Country of Implementation Total Funding Volume under the World Bank Group settlement in USD

Total Funding Volume under the European Investment Bank settlement in USD

Project Status

Basel Institute on Governance, Switzerland Global 1,86 M - completed as of September 20153)

Beijing New Century Academy on Transnational Corporations, China China 0,89 M - completed as of March 20144)

Central European University, Hungary in cooperation with Integrity Action, United Kingdom Central and Eastern Europe 3,09 M - completed as of December 20153)

COCIR (European Coordination Committee of the Radiological, Electromedical and Healthcare IT Industry), Belgium Europe, Asia, Russia, South America 0,96 M - completed as of September 20143)

The Convention on Business Integrity, Nigeria Nigeria 1,1 M - completed as of December 20143)

The Ethics Institute, South AfricaAngola, South Africa

1,5 M -completed as of September 2016 (Angola)2); completed as of September 2015 (South Africa)

Federation of Korean Industries-International Management Institute in cooperation with Global Competitiveness Empowerment Forum, South Korea

South Korea0,81 M - completed as of March 20144)

Foundation for the Global Compact, USA in cooperation with the UN Global Compact and PRME (Principles for Responsible Management Education), USA

Global1,48 M - completed as of January 20153)

Foundation for the Global Compact, USA in cooperation with the UN Global Compact and its local networks Brazil, Egypt, India, Nigeria, South Africa 2,87 M - completed as of January 20153)

Fundación Universidad de San Andrés (FUdeSA), Argentina Argentina 0,73 M - completed as of September 20143)

Humboldt Viadrina School of Governance, Germany Global 1,3 M - completed as of May 20144)

International Anti-Corruption Academy (IACA), Austria Global 2,02 M - completed as of December 20152)

International Business Leaders Forum (IBLF), United Kingdom in cooperation with the School of Public Administration of Renmin University, China

China, Russia1,5 M - completed as of December 20135)

Instituto Ethos – Ethos Institute for Business and Social Responsibility, Brazil Brazil 3,11 M - completed as of June 20162)

Maala Business for Social Responsibility, Israel Israel 0,48 M - completed as of September 20152)

Makati Business Club, Philippines in cooperation with the European Chamber of Commerce Philippines Philippines 1,04 M - completed as of March 20153)

Organisation for Economic Co-operation and Development (OECD), MENA-OECD Investment Programme, France Middle East and North Africa 0,75 M - completed as of September 20135)

1) Summary of Project Activities was reported in

Annual Report 2017 (1) = University of Cairo


Annual Report 2016 (4) = Ethics Angola, IACA,

Ethos, Maala


Annual Report 2015 (9) = Basel, CEU, COCIR,

CBI, PRME, UNGC, San Andres, Makati, UNDP


Annual Report 2014 (14)





= Total number of all summaries 31

27



Project Status

Basel Institute on Governance, Switzerland Global 1,86 M - completed as of September 20153)

Beijing New Century Academy on Transnational Corporations, China China 0,89 M - completed as of March 20144)

Central European University, Hungary in cooperation with Integrity Action, United Kingdom Central and Eastern Europe 3,09 M - completed as of December 20153)

COCIR (European Coordination Committee of the Radiological, Electromedical and Healthcare IT Industry), Belgium Europe, Asia, Russia, South America 0,96 M - completed as of September 20143)

The Convention on Business Integrity, Nigeria Nigeria 1,1 M - completed as of December 20143)

The Ethics Institute, South AfricaAngola, South Africa

1,5 M -completed as of September 2016 (Angola)2); completed as of September 2015 (South Africa)

Federation of Korean Industries-International Management Institute in cooperation with Global Competitiveness Empowerment Forum, South Korea

South Korea0,81 M - completed as of March 20144)

Foundation for the Global Compact, USA in cooperation with the UN Global Compact and PRME (Principles for Responsible Management Education), USA

Global1,48 M - completed as of January 20153)

Foundation for the Global Compact, USA in cooperation with the UN Global Compact and its local networks Brazil, Egypt, India, Nigeria, South Africa 2,87 M - completed as of January 20153)

Fundación Universidad de San Andrés (FUdeSA), Argentina Argentina 0,73 M - completed as of September 20143)

Humboldt Viadrina School of Governance, Germany Global 1,3 M - completed as of May 20144)

International Anti-Corruption Academy (IACA), Austria Global 2,02 M - completed as of December 20152)

International Business Leaders Forum (IBLF), United Kingdom in cooperation with the School of Public Administration of Renmin University, China

China, Russia1,5 M - completed as of December 20135)

Instituto Ethos – Ethos Institute for Business and Social Responsibility, Brazil Brazil 3,11 M - completed as of June 20162)

Maala Business for Social Responsibility, Israel Israel 0,48 M - completed as of September 20152)

Makati Business Club, Philippines in cooperation with the European Chamber of Commerce Philippines Philippines 1,04 M - completed as of March 20153)

Organisation for Economic Co-operation and Development (OECD), MENA-OECD Investment Programme, France Middle East and North Africa 0,75 M - completed as of September 20135)

28




Project Status

Oživení, Czech Republic in cooperation with Transparency International Slovakia and the Economics Institute of the Academy of Sciences of the Czech Republic

Czech Republic, Slovakia 0,6 M - completed as of March 20144)

Partnership for Governance Reform – Kemitraan, Indonesia Indonesia 1,5 M - completed as of December 20144)

POLMED (The Polish Chamber of Commerce of Medical Devices), Poland Poland 0,46 M - completed as of September 20144)

Sequa gGmbH, Germany in cooperation with German Agency for International Cooperation (GIZ), Chengdu Gen-eral Chamber of Commerce (Province of Sichuan), China, and Hunan Provincial Chamber, China

China 1,49 M - completed as of March 20144)

Transparency International Bulgaria Bulgaria 0,45 M - completed as of February 20144)

Transparency International Italy Italy 0,6 M - completed as of March 20144)

Transparency International Mexico Mexico 0,23 M - completed as of May 20144)

Transparency International USA in cooperation with Social Accountability International, USA USA, Global 0,66 M - completed as of September 20144)

United Nations Development Programme Regional Bureau for Arab States, USA Arab States Region 1,78 M - completed as of December 20143)

United Nations Office on Drugs and Crime (UNODC), Austria in cooperation with the International Anti-Corruption Academy (IACA), Austria – Incentives to Corporate Integrity

India, Mexico 1,12 M - completed as of September 20144)

United Nations Office on Drugs and Crime (UNODC), Austria – UNCAC Outreach and Communication Global 0,75 M - completed as of September 20144)

United Nations Office on Drugs and Crime (UNODC), Austria in cooperation with the International Anti-Corruption Academy (IACA), Austria – The 6P’s


University of Cairo, Center for Economic and Financial Research and Studies (CEFRS), Egypt Egypt 0,85 M - completed as of February 20171)

Vietnam Chamber of Commerce and Industry (VCCI) in cooperation with the International Business Leaders Forum (IBLF), United Kingdom

Vietnam 0,5 M - completed as of September 20126)

Total funding volume in USD 37,7 M 0 M


Annual Report 2017 (1) = University of Cairo


Annual Report 2016 (4) = Ethics Angola, IACA,

Ethos, Maala


Annual Report 2015 (9) = Basel, CEU, COCIR,

CBI, PRME, UNGC, San Andres, Makati, UNDP







= Total number of all summaries 31

29



Project Status

Oživení, Czech Republic in cooperation with Transparency International Slovakia and the Economics Institute of the Academy of Sciences of the Czech Republic

Czech Republic, Slovakia 0,6 M - completed as of March 20144)

Partnership for Governance Reform – Kemitraan, Indonesia Indonesia 1,5 M - completed as of December 20144)

POLMED (The Polish Chamber of Commerce of Medical Devices), Poland Poland 0,46 M - completed as of September 20144)

Sequa gGmbH, Germany in cooperation with German Agency for International Cooperation (GIZ), Chengdu Gen-eral Chamber of Commerce (Province of Sichuan), China, and Hunan Provincial Chamber, China

China 1,49 M - completed as of March 20144)

Transparency International Bulgaria Bulgaria 0,45 M - completed as of February 20144)

Transparency International Italy Italy 0,6 M - completed as of March 20144)

Transparency International Mexico Mexico 0,23 M - completed as of May 20144)

Transparency International USA in cooperation with Social Accountability International, USA USA, Global 0,66 M - completed as of September 20144)

United Nations Development Programme Regional Bureau for Arab States, USA Arab States Region 1,78 M - completed as of December 20143)

United Nations Office on Drugs and Crime (UNODC), Austria in cooperation with the International Anti-Corruption Academy (IACA), Austria – Incentives to Corporate Integrity


United Nations Office on Drugs and Crime (UNODC), Austria – UNCAC Outreach and Communication Global 0,75 M - completed as of September 20144)

United Nations Office on Drugs and Crime (UNODC), Austria in cooperation with the International Anti-Corruption Academy (IACA), Austria – The 6P’s


University of Cairo, Center for Economic and Financial Research and Studies (CEFRS), Egypt Egypt 0,85 M - completed as of February 20171)

Vietnam Chamber of Commerce and Industry (VCCI) in cooperation with the International Business Leaders Forum (IBLF), United Kingdom

Vietnam 0,5 M - completed as of September 20126)

Total funding volume in USD 37,7 M 0 M

Due to rounding differences, the figures as presented in the table above may not add up exactly to the total Funding Amount of USD 37,7 M for the First Funding Round.

30


List of projects funded under the Second Funding Round:



Project Status

Al Akhawayn University in Ifrane (AUI), Morocco Morocco 0,55 M - completed as of May 20182)

Basel Institute on Governance, Switzerland, in cooperation with the Organisation for Economic Co-operation and Development (OECD), France, and the Foundation for the Global Compact, USA

Global 4,00 M - completed as of December 20183)

Beijing New Century Academy on Transnational Corporations (NATC), China China 1,50 M - completed as of September 20171)

Confederation of Indian Industry (CII), India India 0,70 M - completed as of March 20193)

Ethics and Reputation Society / Etik ve Itibar Dernegi (TEID), Turkey Turkey 1,76 M - completed as of November 20172)

Foundation for the Global Compact, USA, in cooperation with the Egyptian Junior Business Association, Egypt Egypt 1,40 M - completed as of June 20182)

Global Compact Network India (GCNI), India India 0,73 M - completed as of March 20193)

Global Compact Network Korea (GCNK), Korea, in cooperation with the Global Competitiveness Empowerment Forum (GCEF), South Korea

Republic of Korea (South Korea) 0,90 M - completed as of March 20182)

International Anti-Corruption Academy (IACA), Austria Global - 4,98 M completed as of December 20194)

MedTech Europe5) (formerly Eucomed), Belgium Middle East and North Africa 0,85 M - completed as of May 20182)

Organisation for Economic Co-operation and Development (OECD), France Morocco - 0,70 M completed as of December 20183)

Organisation for Economic Co-operation and Development (OECD), France Russia 1,55 M - completed as of June 20182)

Pan African Lawyers Union (PALU), Tanzania Africa 0,93 M - completed as of September 20171)

Pearl Initiative, United Arab Emirates GCC countries (United Arab Emirates, Kingdom of Saudi Arabia, Bahrain, Qatar, Kuwait, Oman)

0,88 M - completed as of October 20204)

The Ethics Institute, South Africa, in cooperation with the Institute of Directors Mozambique, Mozambique (IoDMZ)

Mozambique 0,55 M - completed as of September 20193)

1) Summary of Project Activities for entire

project period was reported in Annual Report

2017 (2) = NATC, PALU


project period was reported on in Annual

Report 2018 (10) = Al Akhawayn University,

MedTech, OECD (Russia), POLMED, TEID,

TI Italy, TI Secretariat, UNGC Egypt, UNGC

Korea, WU Vienna

3) Summary of Project Activities for entire pro-

ject period reported in Annual Report 2019

(10) = Basel Institute on Governance, CII,

Global Compact Network India, OECD

(Morocco), TEI (Mozambique), TEI (South

Africa), TI España, UNODC (Colombia), UNDP

(Egypt, Morocco and Tunisia), UNDP (Iraq and

Libya)

4) Summary of Project Activities for entire project

period reported in Annual Report 2020 (2)

= IACA, PEARL

5) Transfer from Eucomed to MedTech effective

January 1, 2017

31



Project Status

Al Akhawayn University in Ifrane (AUI), Morocco Morocco 0,55 M - completed as of May 20182)

Basel Institute on Governance, Switzerland, in cooperation with the Organisation for Economic Co-operation and Development (OECD), France, and the Foundation for the Global Compact, USA

Global 4,00 M - completed as of December 20183)

Beijing New Century Academy on Transnational Corporations (NATC), China China 1,50 M - completed as of September 20171)

Confederation of Indian Industry (CII), India India 0,70 M - completed as of March 20193)

Ethics and Reputation Society / Etik ve Itibar Dernegi (TEID), Turkey Turkey 1,76 M - completed as of November 20172)

Foundation for the Global Compact, USA, in cooperation with the Egyptian Junior Business Association, Egypt Egypt 1,40 M - completed as of June 20182)

Global Compact Network India (GCNI), India India 0,73 M - completed as of March 20193)

Global Compact Network Korea (GCNK), Korea, in cooperation with the Global Competitiveness Empowerment Forum (GCEF), South Korea

Republic of Korea (South Korea) 0,90 M - completed as of March 20182)

International Anti-Corruption Academy (IACA), Austria Global - 4,98 M completed as of December 20194)

MedTech Europe5) (formerly Eucomed), Belgium Middle East and North Africa 0,85 M - completed as of May 20182)

Organisation for Economic Co-operation and Development (OECD), France Morocco - 0,70 M completed as of December 20183)

Organisation for Economic Co-operation and Development (OECD), France Russia 1,55 M - completed as of June 20182)

Pan African Lawyers Union (PALU), Tanzania Africa 0,93 M - completed as of September 20171)

Pearl Initiative, United Arab Emirates GCC countries (United Arab Emirates, Kingdom of Saudi Arabia, Bahrain, Qatar, Kuwait, Oman)

0,88 M - completed as of October 20204)

The Ethics Institute, South Africa, in cooperation with the Institute of Directors Mozambique, Mozambique (IoDMZ)

Mozambique 0,55 M - completed as of September 20193)

32




Project Status

The Ethics Institute, South Africa South Africa 0,80 M - completed as of September 20193)

The Polish Chamber of Commerce of Medical Devices (POLMED), Poland Poland 0,65 M - completed as of September 20182)

Transparency International Secretariat (TI-S), Germany Global 3,06 M - completed as of September 20182)

Transparency International España (TI-España), Spain Spain 1,27 M - completed as of January 20193)

Transparency International Italia (TI-It), Italy, in cooperation with the Centro Ricerche e Studi su Sicurezza e Crimi-nalità (RiSSC), Fondazione Centro Studi Investimenti Sociali (CENSIS), Istituto per la Promozione dell’Etica in Sanità (ISPE-Sanità), Italy

Italy 1,12 M - completed as of September 20182)

United Nations Office on Drugs and Crime (UNODC), Austria Colombia 1,20 M - completed as of January 20193)

United Nations Development Programme (UNDP), USA Arab Region including Egypt, Morocco and Tunisia

- 2,27 M completed as of September 20193)

United Nations Development Programme (UNDP), USA Arab Region including Iraq and Libya 1,52 M - completed as of September 20193)

Wirtschaftsuniversität WU, Vienna University of Economics and Business Administration, Austria Africa 1,70 M - completed as of March 20182)

Total Funding Volume in USD 27,62 M 7,95 M


project period was reported in Annual Report

2017 (2) = NATC, PALU


project period was reported on in Annual

Report 2018 (10) = Al Akhawayn University,

MedTech, OECD (Russia), POLMED, TEID,

TI Italy, TI Secretariat, UNGC Egypt, UNGC

Korea, WU Vienna

3) Summary of Project Activities for entire pro-

ject period reported in Annual Report 2019

(10) = Basel Institute on Governance, CII,

Global Compact Network India, OECD

(Morocco), TEI (Mozambique), TEI (South

Africa), TI España, UNODC (Colombia), UNDP

(Egypt, Morocco and Tunisia), UNDP (Iraq and

Libya)

4) Summary of Project Activities for entire project

period reported in Annual Report 2020 (2)

= IACA, PEARL

5) Transfer from Eucomed to MedTech effective

January 1, 2017

33



Project Status

The Ethics Institute, South Africa South Africa 0,80 M - completed as of September 20193)

The Polish Chamber of Commerce of Medical Devices (POLMED), Poland Poland 0,65 M - completed as of September 20182)

Transparency International Secretariat (TI-S), Germany Global 3,06 M - completed as of September 20182)

Transparency International España (TI-España), Spain Spain 1,27 M - completed as of January 20193)

Transparency International Italia (TI-It), Italy, in cooperation with the Centro Ricerche e Studi su Sicurezza e Crimi-nalità (RiSSC), Fondazione Centro Studi Investimenti Sociali (CENSIS), Istituto per la Promozione dell’Etica in Sanità (ISPE-Sanità), Italy

Italy 1,12 M - completed as of September 20182)

United Nations Office on Drugs and Crime (UNODC), Austria Colombia 1,20 M - completed as of January 20193)

United Nations Development Programme (UNDP), USA Arab Region including Egypt, Morocco and Tunisia

- 2,27 M completed as of September 20193)

United Nations Development Programme (UNDP), USA Arab Region including Iraq and Libya 1,52 M - completed as of September 20193)

Wirtschaftsuniversität WU, Vienna University of Economics and Business Administration, Austria Africa 1,70 M - completed as of March 20182)

Total Funding Volume in USD 27,62 M 7,95 M

Due to rounding differences, the figures as presented in the table above may not add up exactly to the total Funding Amount of USD 35,554 M for the Second Funding Round.

34


List of projects funded under the Third Funding Round:



Project Status

Basel Institute on Governance, Switzerland, in cooperation with the Organisation for Economic Co-operation and Development (OECD), France

Global - 2,86 M activities in progress

Beijing New Century Academy on Transnational Corporations (NATC), China China - 1,50 M activities in progress

Business for Social Responsibility (BSR), USA, in cooperation with the Convention on Business Integrity, Nigeria Nigeria 1,00 M - activities in progress

East China Normal University (ECNU), China China 0,80 M - activities in progress

East-West Center, USA Indonesia 0,80 M - activities in progress

Etik ve İtibar Derneği (TEİD), Turkey Turkey 0,80 M - activities in progress

Eurocham, (Chambre de Commerce Européenne en Côte d’Ivoire), Ivory Coast Ivory Coast 0,80 M - activities in progress

Foundation for the Global Compact, USAGlobal 1,70 M - activities in progress

Fundación Poder Ciudadano (Transparency International Argentina), Argentina Argentina 0,80 M - activities in progress

Global Compact Network Korea (GCNK), Korea, in cooperation with the Korea Sustainability Investing Forum (KoSIF)

Korea 0,80 M - activities in progress

International Anti-Corruption Academy (IACA), Austria Global 1,50 M - activities in progress

Kazakhstan Bar Association (KazBar), Kazakhstan Kazakhstan 0,80 M - activities in progress

35



Project Status

Basel Institute on Governance, Switzerland, in cooperation with the Organisation for Economic Co-operation and Development (OECD), France

Global - 2,86 M activities in progress

Beijing New Century Academy on Transnational Corporations (NATC), China China - 1,50 M activities in progress

Business for Social Responsibility (BSR), USA, in cooperation with the Convention on Business Integrity, Nigeria Nigeria 1,00 M - activities in progress

East China Normal University (ECNU), China China 0,80 M - activities in progress

East-West Center, USA Indonesia 0,80 M - activities in progress

Etik ve İtibar Derneği (TEİD), Turkey Turkey 0,80 M - activities in progress

Eurocham, (Chambre de Commerce Européenne en Côte d’Ivoire), Ivory Coast Ivory Coast 0,80 M - activities in progress

Foundation for the Global Compact, USAGlobal 1,70 M - activities in progress

Fundación Poder Ciudadano (Transparency International Argentina), Argentina Argentina 0,80 M - activities in progress

Global Compact Network Korea (GCNK), Korea, in cooperation with the Korea Sustainability Investing Forum (KoSIF)

Korea 0,80 M - activities in progress

International Anti-Corruption Academy (IACA), Austria Global 1,50 M - activities in progress

Kazakhstan Bar Association (KazBar), Kazakhstan Kazakhstan 0,80 M - activities in progress

36




Project Status

Organisation for Economic Co-operation and Development (OECD), France Regional - Bosnia and Herzegovina, Croatia and Serbia

- 1,70 M activities in progress

The Ethics Institute, South Africa Mozambique 0,80 M - activities in progress

The Ethics Institute, South Africa South Africa 1,00 M - activities in progress

The Polish Chamber of Commerce of Medical Devices (POLMED), Poland Poland - 0,69 M activities in progress

Transparency International Bulgaria, Bulgaria Bulgaria - 0,75 M activities in progress

United Nations Office on Drugs and Crime (UNODC), Austria Colombia 1,10 M - activities in progress

United Nations Office on Drugs and Crime (UNODC), Austria Global - with focus on Pakistan, Kenya, Mexico

1,00 M - activities in progress

United Nations Office on Drugs and Crime (UNODC), Austria Myanmar 0,80 M - activities in progress

United Nations Office on Drugs and Crime (UNODC), Austria Regional - Egypt, Iraq, Libya and UAE 2,40 M - activities in progress

Wirtschaftsuniversität Wien (WU),Vienna University of Economics and Business, Austria Regional - Nigeria, Ghana, Kenya, Rwanda, South Africa, Zambia, Uganda


Total funding volume in USD 17,70 M 7,50 M

37



Project Status

Organisation for Economic Co-operation and Development (OECD), France Regional - Bosnia and Herzegovina, Croatia and Serbia

- 1,70 M activities in progress

The Ethics Institute, South Africa Mozambique 0,80 M - activities in progress

The Ethics Institute, South Africa South Africa 1,00 M - activities in progress

The Polish Chamber of Commerce of Medical Devices (POLMED), Poland Poland - 0,69 M activities in progress

Transparency International Bulgaria, Bulgaria Bulgaria - 0,75 M activities in progress

United Nations Office on Drugs and Crime (UNODC), Austria Colombia 1,10 M - activities in progress

United Nations Office on Drugs and Crime (UNODC), Austria Global - with focus on Pakistan, Kenya, Mexico


United Nations Office on Drugs and Crime (UNODC), Austria Myanmar 0,80 M - activities in progress

United Nations Office on Drugs and Crime (UNODC), Austria Regional - Egypt, Iraq, Libya and UAE 2,40 M - activities in progress

Wirtschaftsuniversität Wien (WU),Vienna University of Economics and Business, Austria Regional - Nigeria, Ghana, Kenya, Rwanda, South Africa, Zambia, Uganda


Total funding volume in USD 17,70 M 7,50 M

Due to rounding differences, the figures as presented in the table above may not add up exactly to the total Funding Amount of USD 25,2 M for the Third Funding Round.

38

B.

The chart illustrates the regional

spread and balance of the First,

Second and Third Funding

portfolio

38

Note: Schematic illustration only. Due to rounding, numbers presented may not add up precisely to the totals provided. Status: March 2, 2020

Region / Country of implementation (number of project proposals)

Second Funding Round

Third Funding Round

First Funding Round

Bubble size = Approximate value of funding

Global Projects

27,5 M 13 Projects which also

include activities in many countries

12,0

8,4 7,1

Americas

9,5 M 7 Projects,

3 sub-projects

1,9

1,2

6,4


Siemens Integrity Initiative covers all major growth regions and high-risk countries with 77 projects and a total committed funding of USD 98,5 M

39

Asia-Pacific

3,0

0,8

3,8 M 4 Projects

Southern Europe

3,0 M 3 Projects

0,6

2,4

10,9 M 10 Projects

Central & Eastern Europe

4,63,9

2,4

Kazakhstan

0,8 M 1 Project

0,8

Russia

2,4 M 1 Project

1 sub-project

0,9

1,5

China

6,7 M 5 Projects

1 sub-project

2,32,9

1,5

South Korea

2,5 M 3 Projects

0,8

0,9

0,8

Myanmar

0,8 M 1 Project

0,8

India

3,1 M 2 Projects,

3 sub-projects

1,7 1,4

Middle East

13,8 M 10 Projects,

1 sub-project

7,0

2,4

4,4

Africa

13,6 M 13 Projects,

3 sub-projects

4,0 4,4

5,2

40

Project profiles and highlights of activities in 2020

C.The following pages contain project objectives and funding volumes as

agreed with Integrity Partners in the respective funding agreements.

For ongoing projects under the Third Funding Round the descriptions of

activities undertaken in this year (2020) were provided by the Integrity

Partners in their respective Annual Progress Report 2020 and approved by

the relevant Integrity Partners for external use.

40

Integrity Partners submitted the following doc-umentation, which was the basis for the review of progress:

• Annual Progress Report, which provides an overview of activities undertaken and an assessment of progress made

• Annual Financial Report, which shows the utilization of funds per activity in comparison to the original budget set in the Funding Agreement

• Audit Statement by an external audit com-pany, which verifies the financial report and provides an unqualified audit opinion on the use of funds

• Updated Work Plan and Updated Budget for 2021

For Second Funding Round Integrity Partners that have completed their activities, a Final Report including the following information was provided and used as the basis for review:

• Final Progress Report, which provides an overview of activities undertaken and an assessment of progress made

• Final Financial Report, which shows the utiliza-tion of funds per activity in comparison to the original budget set in the Funding Agreement

• Audit Statement by an external audit com-pany, which verifies the financial report and provides an unqualified audit opinion on the use of funds

• Payment and expense overview

• External evaluation of impact

Project profiles and highlights of activities in 2020

41

All 31 Siemens Integrity Initiative First Funding Round projects were completed by March 3, 2017. Key activities over the entire project period were reported on in one of our previous Annual Reports and therefore no First Funding Round Projects are included in this Annual Report 2020.

To obtain information on the thirty-one (31) fully completed projects please refer to the previ-ous Annual Reports 2012, 2013, 2014, 2015, 2016 and 2017 of the Siemens Integrity Initiative.

The respective projects are: Basel Institute on Governance, Beijing New Century Academy on Transnational Corporations (NATC) I, Central European University (CEU), COCIR, Convention on Business Integrity (CBI), Federation of Korean Industries-International Management Institute (FKI-IMI), Foundation for the Global Compact (UN PRME), Foundation for the Global Compact (UNGC / 5 countries), Fundación Universidad de San Andrés (FUdeSA), Humboldt Viadrina School of Governance, International Anti-Corruption Academy (IACA), Austria, International Business Leaders Forum (IBLF), Instituto Ethos – Ethos Institute for Business and Social Responsibility, Brazil, Maala Business for Social Responsibility, Israel, Makati Business Club (MBC), Organisation

for Economic Co-operation and Development (OECD) - MENA, Oživení, Partnership for Gover-nance Reform (PGR) – Kemitraan, The Polish Chamber of Commerce of Medical Devices (Polmed) I, Sequa, Transparency International Bulgaria, Transparency International Italy, The Ethics Institute, South Africa, Transparency International Mexico, Transparency International USA, United Nations Development Programme (UNDP), University of Cairo, three UNODC I projects, and VCCI.

All 24 Siemens Integrity Initiative Second Funding Round projects have completed their activities by March 2, 2021.

In this Annual Report 2020, information on key activities over the entire project period for 2 projects is included, namely the International Anti-Corruption Academy (IACA) and the Pearl Initiative (PEARL).

Information on key activities over the entire project period for 22 projects were already reported in the Annual Report 2017 (2 projects), Annual Report 2018 (10 projects) and Annual Report 2019 (10 Projects).

The respective projects are: Al Akhawayn Univer-sity in Ifrane (AUI), Basel Institute on Gover-nance, Beijing New Century Academy on Trans-

national Corporations (NATC), Confederation of Indian Industry (CII), Etik ve Itibar Dernegi (TEID), Foundation for the Global Compact, Global Compact Network India (GCNI), Global Compact Network Korea (GCNK), MedTech Europe, Organisation for Economic Co-operation and Development (OECD) Morocco project, Organisation for Economic Co-operation and Development (OECD) Russia project, Pan African Lawyers Union (PALU), The Ethics Institute (TEI) Mozambique project, The Ethics Institute (TEI) South Africa project, The Polish Chamber of Commerce of Medical Devices (POLMED), Transparency International Secretariat (TI-S), Transparency International España (TI-España), Transparency International Italia (TI-It), United Nations Office on Drugs and Crime (UNODC), United Nations Development Programme (UNDP) Egypt, Morocco and Tunisia project, United Nations Development Programme (UNDP) Iraq and Libya project and Wirtschafts-universität Wien (WU).

Further information is provided on www.siemens.com/integrity-initiative.

For all projects the Project Profiles in Section C were provided by the Integrity Partners and approved by them for external use.


4242

First Funding Round Projects: Project profiles and highlights of activities up to 2017C1.For projects under the First Funding Round the descriptions of activities

undertaken over the entire project period were provided by the Integrity Part-

ners in their respective Final Progress Reports and approved by the relevant

Integrity Partners for external use.

All 31 First Funding Round projects have been fully completed and reported

on in the Annual Reports of 2011, 2012, 2013, 2014, 2015, 2016 and 2017.

No First Funding Round projects are covered in this Section C1.

4444

C2. Second Funding Round Projects: Project Profiles and highlights of activities in 2020

For projects under the Second Funding Round the descriptions of activities

undertaken in 2020 were provided by the Integrity Partners in their respec-

tive Annual Progress Report 2020 or Final Report as the case may be, and are

approved by the relevant Integrity Partners for external use.

Of the twenty-four (24) Second Funding Round projects, twenty-two (22)

have been fully completed and reported on in the Annual Reports of 2017

(2 projects), 2018 (10 projects) and 2019 (10 projects) respectively.

Two (2) remaining projects are covered in this Section C2.

46

The IACA is dedicated to overcoming current shortcomings in knowledge and practice in the field of compliance and anti-corruption. The organization’s holistic and collective research and training programs for the private and pub-lic sectors as well as civil society strive to enhance the understanding of each other’s approaches, intentions, and methodologies, while also providing the opportunity to explore common problems from different angles with joint academic rigor.

Compliance, private sector anti-corruption pro-grams, and especially Collective Action are rel-atively new areas in the fight against corrup-tion. The “Professorship on Collective Action, Compliance and (Private Sector) Anti-Corrup-

Name of Integrity Partner:

International Anti-Corruption Academy (IACA)

Project Profiles and highlights of activities in 2020

DESCRIPTION OF INTEGRITY PARTNER

The International Anti-Corruption Academy (IACA) is a pioneering institu-tion that aims to overcome current short-comings in knowledge and practice in the field of anti-corruption and compliance. The organization intends to empower and enable professionals for the compliance challenges of tomorrow.

The Academy provides a new, holistic and collective approach to anti-corruption education and research, delivers and facilitates anti-corruption training courses for practitioners from all sectors of society, and provides technical support and assistance to a wide variety of stake-holders. International cooperation, the sharing of knowledge and experiences, and mutual support are fundamental aspects of IACA’s mandate.

The IACA became an international organi-zation on March 8, 2011. To date, it comprises a constituency of 80 Parties, including four international organiza-tions. In addition, IACA seeks broad partnerships with states, private sector institutions, international and non- governmental organizations, as well as civil society.

tion” will contribute to meeting the demand for in-depth analysis in these fields. It will develop and offer an academic two-year Master’s degree program, seminars and conferences focusing on the needs of the private sector in order to promote fair market conditions.

Grants for students and participants from Least Developed Countries and Emerging Markets:

In accordance with the inter-regional approach of IACA, students and participants from all over the world should have the opportunity to study and work at the Academy. In order to be able to provide training to those participants who would otherwise not be able to afford it and enable them to attend courses, grants and tuition fees will be provided.

C2.

Professorship on Collective Action, Compliance and (Private Sector) Anti-Corruption & grants for IACA participants from Least Developed Countries and Emerging Markets

PROJECT:

Global 4 years 4,98 M International Organizaton, Austria

COUNTRY OF IMPLEMENTATION: DURATION: USD (MILLION): REGISTERED IN:

www.iaca.int

www.iaca.int

47

KEY ACTIVITIES OVER THE ENTIRE PROJECT PERIOD (OCTOBER 2015 – DECEMBER 2019):

• The Professorship on Collective Action, Com-pliance and (Private Sector) Anti-Corruption (PCAC) Team reached an audience of more than 6,100 professionals through numerous academic activities, lectures, presentations at international conferences and supervision. These activities provided research findings and practical insights and promoted the prin-ciples of business ethics, corporate integrity and transparency in various regions of the world

• The PCAC Team developed and implemented the International Master in Anti-Corruption Compliance and Collective Action (IMACC) programme. 12 students graduated with the MA degree in AC Compliance and Collective Action, and 15 new students enrolled in the second class of the programme

• Four seminars and three workshops were conducted for compliance professionals which increased their awareness of modern trends in anti-corruption compliance

• The Overview of Anti-Corruption Compliance Standards and Guidelines as a practical tool for organizations and Collective Action initia-tives was published

• The project provided scholarships to 230 students from Least Developed Countries and Emerging Markets. These scholarships have far-reaching outcomes in reducing corruption and leveling the playing field

• Eight articles of research fellows were pub-lished to enhance the knowledge of readers on current developments in anti-corruption, compliance and Collective Action

IACA’s “Professorship on Collective Action, Compliance and (Private Sec-tor) Anti-Corruption” will research, lecture, train, and provide technical assistance in these fields in order to promote fair market conditions

PROJECT AT A GLANCE: • Three Regional Summer Academies (RSAs) were successfully implemented in China (2018), Korea (2019), and Brazil (2019), all contributing to the understanding and implementation of anti-corruption policies and compliance

• The Competition Event for the RSAs 2018-2019 participants and IACA Alumni was successfully implemented and provided a platform for exchange of knowledge between participants and lecturers on ideas and experiences related to anti-corruption and compliance

Impact

• Academic activities by the PCAC team, such as lecturing, conference contributions, compliance seminars and article publications reached a large audience, raised awareness and provided practical insights

• Participants of IACA’s activities are using their newly acquired knowledge and skills to prevent corruption and to stimulate clean business environments in their home countries

https://www.iaca.int/iaca-programmes/academic-programmes/imacc.html



https://www.iaca.int/media/attachments/2020/01/09/overview_of_compliance_standards_and_guidelines.pdf

https://www.iaca.int/media/attachments/2020/01/09/overview_of_compliance_standards_and_guidelines.pdf

https://www.iaca.int/resources/publications/research-publications

https://www.iaca.int/resources/news-2019/1231-18-winners-of-the-iaca-regional-summer-academy-competition.html

48

The project aims to influence the behavior of business leaders, government representatives and students across the Gulf Region through education, and Collective Action. Knowledge sharing is a key means to meeting this objec-tive, and the Pearl Initiative is building a local community that is sharing and promoting good integrity practices, while actively encouraging others to lead the way in the implementation of improved standards.

To facilitate higher levels of integrity and trans-parency in businesses in the Gulf Region, prac-tical tools are being developed as part of the project to support companies, in benchmarking their policies against best practices, while also facilitating the implementation of higher levels of integrity and transparency.

The project has three key objectives:

• Develop a Gulf Region focused diagnostic tool to measure and benchmark integrity practices


Pearl Initiative



The Pearl Initiative is the only indepen-dent, not-for-profit, by-business for-busi-ness organization working across the Gulf Region of the Middle East to improve cor-porate accountability, governance and transparency.

With over 40 regional and international partners, the Pearl Initiative brings together business, government, and civil society decision-makers to share best business practices and to help maximize the economic opportunities available to companies within the region. The Pearl Initiative also supports Gulf-based univer-sity students to identify and embrace strong ethics as they embark on their careers.

Founded in 2010, the Pearl Initiative carries out its objectives through:

• Regional Insights, Case Studies and Research-based Reports

• Task Force Initiatives and Interactive Roundtable Forums

• University Collaborations to enhance the capabilities of future business leaders

in businesses operating in the Gulf Region. The results are intended to be shared with the participating organizations to identify areas for improvement while the results of the benchmarking exercises are intended to con-tribute to a wider body of data surrounding integrity practices in the Gulf Region

• Facilitate the creation of a Collective Action community, and enhance dialogue between the business community, civil society and government, highlighting and promoting the business benefits to aligning interests in implementing higher standards

• Engage future business leaders by encourag-ing universities in the region to include the practical angle through respect to the imple-mentation of integrity practices in their curri-cula and by actively reaching out to students with activities such as projects and case study competitions

C2.

PROJECT:

Implementing integrity practices in Gulf Cooperation Council (GCC) private and public businesses


United Arab Emirates, Kingdom of Saudi Arabia,

Bahrain, Qatar, Kuwait, Oman3 years 0,88 M

United Arab Emirates

www.pearlinitiative.org

49

KEY ACTIVITIES OVER THE ENTIRE PROJECT PERIOD (SEPTEMBER 2015 – OCTOBER 2020):

• Based on the market needs assessment and input from stakeholders at the beginning of the project, the Pearl Initiative built and piloted the Gulf Integrity Indicator to serve as a framework for companies to measure their performance against international bench-marks and regional best practices. In total, 25 companies undertook the assessment

• 582 business professionals were trained to raise the level of integrity practices within their organizations in 25 events (14 in-per-son and 11 virtual)

• 4000 students from 40 Universities across the Gulf region and 163 private sector com-panies were engaged in several case study competitions to bridge the gap between students and business leaders. Unique to the region, the competitions led to 25 student-authored case studies that showcased the integrity best practices of the participating companies

• 4 guides on Anti-Corruption practices and the Gulf Integrity Indicator that shed light on the efforts undertaken by Gulf regional firms to address business integrity in the region were published

• In light of the COVID-19 pandemic, 11 webi-nars shed light on integrity practices in key business functions including Marketing and Communication, Human Resources, Finance and Procurement

The aim of the project is to incen-tivize and support business leaders (and future leaders) in the Gulf Region towards implementing more rigorous integrity practices, while recognizing the direct business benefits for doing so

PROJECT AT A GLANCE: • Pearl Initiative was invited to participate in international forums such as the World Economic Forum’s Partnering Against Corrupt Initiative (PACI) and the B20 Saudi Arabia Integrity and Compliance taskforce to add the Gulf region perspective in the global conversations on anti-corruption

Impact

The Pearl Initiative has seen amongst private sector companies, students and academia in the Gulf Region increased awareness on the importance to benchmark and self-assess integrity practices, increased knowledge on integrity related topics, integration of anti- corruption topics in academic curricula, increased multi stakeholder engagement, an increase in the motivation of business leaders to adopt anti-corruption best practices to reduce business risks, and an increase of busi-ness leaders embedding new frameworks and policies to enhance their internal practices

5050

C3. Third Funding Round Projects: Project Profiles and highlights of activities in 2020

For the 22 projects under the Third Funding Round the descriptions of

activities undertaken in 2020 were provided by the Integrity Partners in their

respective Annual Progress Report 2020 and are approved by the relevant

Integrity Partners for external use.

All 22 projects are active and implementation of activities are in progress.

52

This project implemented by the Basel Institute on Governance and the Organisation for Eco-nomic Co-operation and Development aims to embed Collective Action in compliance by developing a global norm, bolstering its appli-cation, and innovating Collective Action to address demand-side bribery and human rights synergies through three objectives.

First, the project seeks to position Collective Action as a norm by key standard-setting and enforcement institutions. Through strategic awareness-raising and advocacy, the project will encourage targeted institutions to create stronger incentives for more private sector and other actors to engage in Collective Action.



Established in 2003, the Basel Institute on Governance is an independent and international non-profit organisation working around the world with public and private partners to prevent and combat corruption and strengthen governance.

• The Collective Action team supports companies and multi-stakeholder groups with advice on Collective Action initiatives and hosts the B20 Collective Action Hub.

• Compliance advisors help organisations strengthen governance systems and implement effective anti-corruption compliance programmes.

• The International Centre for Asset Recovery (ICAR) assists countries in tracing and returning stolen assets with training, case and legal advice, and dig-ital tools including the Basel AML Index and Basel Open Intelligence.

• The Public Governance team researches the root causes of corruption and devel-ops evidence-based anti-corruption approaches.

• The Green Corruption team works across the Basel Institute's divisions to apply anti-corruption and governance approaches to issues of environmental crime and degradation.

Second, it will equip compliance professionals and Collective Action practitioners with effec-tive methodologies for launching and sustain-ing Collective Action initiatives through peer-learning and best-practice sharing.

Third, the project will generate innovation in anti-corruption Collective Action in two areas. To address the demand side of bribery the proj-ect will scale up the use of High Level Report-ing Mechanisms (HLRM). In response to corpo-rate demands for increased effectiveness of compliance systems, the project will identify ways to capitalise on synergies between brib-ery prevention and human rights protection through Collective Action.

Positioning Collective Action as a Compliance Norm

PROJECT:



Basel Institute on Governance in cooperation with the Organisation for Economic Co-operation and Development

C3.

Global 5 years 2,86 M Switzerland

www.baselgovernance.org

www.baselgovernance.org

53

To embed Collective Action in compli-ance by developing a global norm, bol-stering its application, and innovating to address demand-side bribery and human rights synergies

PROJECT AT A GLANCE:

KEY ACTIVITIES (OCTOBER 2019 – SEPTEMBER 2020):

• Participation in the B20 process as Knowl-edge Partner led to Collective Action being a prominent recommendation in the B20 Saudi Arabia Integrity & Compliance Policy Paper

• Support for the revision of Malawi’s National Anti-Corruption Strategy led to the inclusion of Collective Action in the strategy

• Governments in Malawi, Morocco, Tunisia, Mexico and Indonesia are considering the High Level Reporting Mechanism (HLRM) for high-value procurement projects

• Outreach to explore human rights and anti-corruption compliance synergies triggered a surge of interest and discussions with 52 different companies

• 37 Integrity Partners from 22 countries par-ticipated in a practitioner workshop series, and the knowledge shared was published on the B20 Collective Action Hub

• New research and strategic thinking includes papers on Mainstreaming Collective Action and G20 responsiveness to B20 anti-corrup-tion recommendations

• The B20 Collective Action Hub was upgraded and expanded, now featuring a database of 260+ initiatives plus practical resources and publications

• Outreach via dedicated Twitter and LinkedIn accounts, plus news and blogs from Basel Institute staff and guest authors

• In its role as a knowledge centre, the Basel Institute supported government agencies, practitioners and business representatives with targeted guidance on Collective Action

Impact

• Increased engagement and knowledge-shar-ing among the Collective Action community and private-sector partners, contributing to the critical mass needed to make Collective Action a compliance norm

• Fresh impetus to efforts to apply Collective Action approaches to business-critical areas including human rights and procurement

https://baselgovernance.org/publications/b20-saudi-arabia-integrity-and-compliance-policy-paper-2020

https://baselgovernance.org/publications/b20-saudi-arabia-integrity-and-compliance-policy-paper-2020

https://baselgovernance.org/news/malawis-new-national-anti-corruption-strategy-state-art-approach

https://baselgovernance.org/news/malawis-new-national-anti-corruption-strategy-state-art-approach

https://baselgovernance.org/b20-collective-action-hub/hrlm

https://baselgovernance.org/b20-collective-action-hub/human-rights

https://baselgovernance.org/b20-collective-action-hub/human-rights

https://baselgovernance.org/b20-collective-action-hub/events/2020-workshop-series

https://baselgovernance.org/publications/mainstreaming-collective-action-establishing-baseline

https://baselgovernance.org/publications/g20s-responsiveness-b20-anti-corruption-recommendations-2010-2017-part-i-baseline

https://baselgovernance.org/publications/g20s-responsiveness-b20-anti-corruption-recommendations-2010-2017-part-i-baseline

https://baselgovernance.org/b20-collective-action-hub/events/2020-workshop-series

https://twitter.com/FightBribery

https://www.linkedin.com/company/basel-institute-collective-action

https://baselgovernance.org/news/

54

NATC will improve effective compliance man-agement of Chinese enterprises and push compliance Collective Action in China through making efforts in the following three objectives.

Firstly, through submitting policy recommen-dations to government departments, unifying key driving partners and building an alliance in the target industries to address key compliance issues, publishing compliance books and con-ducting compliance forums to promote tools and best practices for effective compliance management, NATC will support enterprises in three target industries (energy, industry and healthcare) to improve the effectiveness of compliance management.



NATC is a non-profit independent legal entity specialized in researching the global and China’s strategy of Transna-tional Corporations (TNCs), corporate governance, management structure, and corporate philosophy and culture with a focus on corporate social responsibility.

NATC has gained recognition from gov-ernment agencies and from foreign and domestic companies for its research work. Drawing upon its research capability, NATC submits policy recommendations for the Ministry of Commerce and other government agencies, and at the same time offers consulting advice to Chinese and foreign TNCs.

Since 2011, NATC has conducted two rounds of Siemens Integrity Initiative proj-ects, which provides a platform for prac-tice and promotion as well as communica-tion and exchange on the subjects of corporate governance, compliance and anti-commercial corruption for every aspect of governments, industries, schol-ars and media to further improve the cor-porate governance and compliance of domestic and overseas enterprises.

Secondly, NATC will promote a “Belt and Road” initiative with emphasis on compliance and integrity by enhancing commitment from relevant Chinese departments, unifying pilot enterprises to address key compliance risks, as well as capacity building and best practices sharing for the enterprises.

Lastly, NATC will contribute to bringing up compliance talents through developing a train-ing curriculum for compliance practitioners at different levels and conduct trainings accord-ingly. NATC will also have dialogue with rele-vant Chinese departments to push them to list compliance professionals as an official profes-sion in China.

Improving the Effectiveness of Compliance Programs of Chinese Enterprises

PROJECT:



Beijing New Century Academy on Transnational Corporations (NATC)

C3.

China 3 years 1,50 M China

http://www.tncchina.org.cn/

55

Promoting effective compliance man-agement and enhancing compliance and integrity culture of Chinese enterprises



NATC enhanced compliance commitments from administration authorities and national ministries by

• Supporting the All-China Federation of Industry and Commerce (ACFIC) to strengthen compliance management in private enterprises

• Supporting the compliance pilot program initiated by State-owned Assets Supervision and Administration Commission (SASAC) of Beijing and conducting an evaluation of the maturity of the compliance programs for 5 municipal pilots

• Initiating a pilot program in the industry sec-tor and drafting a Code of Conduct template, an Anti-corruption Compliance Manual, a Cyber & Information Security Manual and a Personal Data Protection Manual to help strengthen compliance capacity in key com-pliance fields and push Collective Action within the targeted sector

• Promoting the assessment tool for effective compliance management and best practices through “The Evaluation of Effectiveness of Compliance Management Systems” book and the Annual Compliance Forum in Qingdao with over 160 participants

• Participation in the drafting and refining of the policy recommendation report “Compli-ance Professionals as a New Profession” aimed at promoting the certification of com-pliance professionals in China. The recom-mendation report was expected to be sub-mitted to the Ministry of Human Resources and Social Security in November 2020

Impact

A broadened communication platform with widened stakeholder reach has further pro-moted compliance on a larger scale, strength-ened compliance awareness of enterprises in different regions and target sectors and strengthened compliance professional capacity and recognition to enhance effective compli-ance management and culture

56

This project will scale-up the Maritime Anti-Corruption Network’s (MACN) Collective Action program in Nigeria, with the aim of improving efficiency of seaports and terminals services in Nigeria and enabling effective corruption pre-vention through improved compliance and cre-ate a culture of integrity.

The project will lead to clean business and fair market conditions for seaports and terminals users in Nigeria, by enabling stronger business Collective Action amongst port users in Nige-ria, stronger government compliance environ-ment, proving public-private arrangements for oversight of compliance.



BSR (Business for Social Responsibility) is the secretariat and lead facilitator of the Maritime Anti-Corruption Network (MACN). BSR is a global non-profit organi-zation that works with its network of more than 250 member companies to build a just and sustainable world.

MACN is a global business network work-ing towards the vision of a maritime industry free of corruption that enables fair trade to the benefit of society at large. Established in 2011, MACN is comprised of companies within the main sectors of the maritime industry. With over 130 companies from the maritime industry represented, MACN members own or manage over 8 000 ships and operate more than 25 percent of the total global tonnage in the maritime industry. Since its inception, MACN has become one of the preeminent examples of an industry led Collective Action network.

The project will be facilitated over three years by BSR and The Convention on Business Integ-rity (CBi). Through this new project we are expanding to multiple agencies and port users, enabling inter-industry and public-private sec-tor dialogue on integrity issues, and equipping local players with proven Collective Action methodologies to drive change.

MACN Nigeria - Business Action Against Corruption (BAAC)

PROJECT:


C3.

Nigeria 3 years 1,00 M USA


Business for Social Responsibility (BSR) in cooperation with the Convention on Business Integrity

www.bsr.org

57

To establish more effective seaports and terminals services in Nigeria and adopt corruption prevention practices via improved compliance with Stan-dard Operating Procedures


KEY ACTIVITIES (FEBRUARY 2020 – SEPTEMBER 2020):

Since inception in February 2020, the Conven-tion on Business Integrity (CBi) and the Mari-time Anti-Corruption Network (MACN) have taken decisive steps to scale-up MACN’s Collec-tive Action program in Nigeria, with the aim of improving efficiency of services and enabling effective corruption prevention at seaports and terminals.

These include

• Launching the project in June 2020 through international and national media channels, a virtual launch event and the website

• Hosting two private-public sector roundta-bles on cargo clearance and related corrup-tion risks. Key stakeholders including the Nigerian Customs Service, the Nigerian Ports Authority and industry representatives par-ticipated

• Launching an online HelpDesk allowing com-panies to report challenges during cargo clearance. The HelpDesk provides for contact with a dedicated agent from CBi who’s role is to help resolve the case in real time through dialogue with relevant government authori-ties

• Requesting a Presidential Pronouncement on the appropriate agency to coordinate compli-ance with the Standard Operating Procedures (SOP) in ports and terminals with support from the President’s Office

• Securing partnerships with the Anti-Corrup-tion Academy’s Independent Corrupt Prac-tices and Other Related Offences Commis-sion, the Aspen Leadership Initiative West Africa, and the Compliance Institute in Nige-ria to conduct the training of Government Compliance Officers

Impact

• Roundtables enable public-private sector dia-logue on SOPs. This is a first step to increase utilization of SOPs

• The Lagos Chamber of Commerce is creating a maritime group. This will help the Collec-tive Action Alliance building

• By using the User Experience Diary, compa-nies can demand adherence to SOPs. This enables evidence-based engagement on corruption in ports (based on Experience Diary evidence data)

https://www.hellenicshippingnews.com/maritime-anti-corruption-network-to-scale-up-collective-action-in-nigeria-with-support-from-siemens-ag/

https://guardian.ng/news/maritime-anti-corruption-network-siemens-ag-to-scale-up-collective-action/

https://www.youtube.com/watch?v=KAN0TZ9jacM&ab_channel=IntegrityOrganization

https://www.cbinigeria.com/collective-action-projects/business-action-against-corruption/macn-nigeria/

https://www.youtube.com/watch?v=Tj7aRxZdSEg&ab_channel=IntegrityOrganization

https://www.youtube.com/watch?v=Tj7aRxZdSEg&ab_channel=IntegrityOrganization

https://www.youtube.com/watch?v=ABF9xzcgFpY&ab_channel=IntegrityOrganization

https://www.integritynigeria.org/portcallassist/mobile.php

https://www.proshareng.com/news/Business%20Regulations,%20Law%20&%20Practice/CBi-Nigeria-to-Partner-MACN-in-Training-300-Officers-on-Compliance---Soji-Apampa-/53239




https://www.cbinigeria.com/portcallassist/mobile.php

58

The project seeks to develop a compliance education program for college students and professionals. Companies and universities will be able to benefit from our project and its positive outcomes.

Furthermore, group work on compliance R & D and annual meetings for Collective Action will be launched as one aspect of the project.

The project will be divided in two parts. The first part covers the compliance education program. The higher education of corporate compliance will be integrated as a subject in the system of higher education.

A short-term Corporate Compliance Program will be launched as a simple version of compli-ance education for students and professionals (one step at a time from the city of Shanghai



Founded in Shanghai in October 1951, the East China Normal University (ECNU) is one of the most prestigious universities in China and is sponsored by the national programs “Project 211” and “Project 985”. ECNU offers doctoral programs in 30 of its first-level disciplines and master’s pro-grams in 37 first-level disciplines, and is authorized to confer 20 professional mas-ter’s degrees and doctoral degree in edu-cation. The university sponsors or super-vises the publication of 23 academic journals and periodicals, as well as four English-language academic journals.

The Research Center for Corporate Com-pliance (RCCC) of ECNU is the first non-profit research organization in China that provides platforms for researchers, com-pliance practitioners and policymakers to communicate. The orientation of the research center is to achieve the combina-tion of the research on law and other fields with close practices of compliance and to train people so that they become experts on corporate compliance.

to the region of Shanghai, and then countrywide).

The second part of the program refers to Collective Action in the form of publications, working groups, and annual meetings. These activities seek to share compliance knowledge and techniques.

An annual meeting of the healthcare sector in Shanghai will be planned to summarize the healthcare compliance development.

At the end of the project, the standards of cor-porate compliance higher education will be established, the first experiences of which will have been undertaken; thus, the compliance awareness and compliance techniques of com-pliance professionals in the healthcare sector in China will be enhanced.

Great China Compliance

PROJECT:



East China Normal University

C3.

China 3 years 0,80 M China

http://english.ecnu.edu.cn/

59

The project will address the lack of higher education for compliance pro-fessionals and promote Collective Action Initiatives in the healthcare sec-tor to raise skills and competence of compliance professionals, improve compliance standards and reduce corruption


KEY ACTIVITIES (JANUARY 2020– SEPTEMBER 2020):

In promoting higher education of Corporate Compliance

• a total of 41 college students and 99 in-ser-vice professionals participated in the training courses and obtained a certificate for compli-ance education and training

• students and trainees improved their compli-ance skills and deepened their understanding of compliance

• the course design for the creative “compli-ance as a subject in China” concept was completed

• a compliance handbook and research papers were completed and shared with students, professionals and policy makers in the field of anti-bribery compliance and antitrust com-pliance

In promoting Collective Action initiatives in the healthcare sector

• over 70 participants interacted on the devel-opment of compliance in the Chinese market at the annual compliance seminar held in Shanghai, China on September 12, 2020

• industry compliance professionals, local pros-ecutors, compliance researchers and local enforcement authorities shared best prac-tices and discussed policy recommendations and compliance trends, especially new trends related to the COVID-19 pandemic

Impact

• Through training and education, a new generation of compliance management will become facilitators of a culture of compli-ance in the Chinese healthcare sector and have influence in their future places of work

• On-the-job professionals in business, law and academia can join hands in promoting a culture of compliance in Shanghai and the Chinese market through Collective Action

60

This project addresses three of the most press-ing issues in the ongoing efforts to combat endemic corruption in Indonesia:

1. uneven performance of the new regional Anti-Corruption Courts (ACC) that were created to re-place a single centralized ACC

2. a confused and inadequate legal frame-work for the protection of whistle-blowers and justice collaborators in corruption cases, and

3. ineffective measures to address wide-spread corruption in the private sector and, more specifically, shortcomings in compliance regimes and internal protec-tion for the whistleblowers



The East-West Center (EWC) was estab-lished by the United States Congress in 1960 and serves as a resource for infor-mation and analysis on critical issues of common concern, bringing people together to exchange views, build exper-tise, and develop policy options. Head-quartered in Honolulu with an office in Washington, DC, the EWC is a non-profit organization that promotes better rela-tions and understanding among the people of the Asia-Pacific region through cooperative study, research, and dialogue.

The EWC’s 21-acre Honolulu campus, adjacent to the University of Hawaii at Manoa, is located midway between Asia and the United States mainland and fea-tures research, residential and interna-tional conference facilities. The EWC brings together more than 3 000 individu-als per year from around the world to par-ticipate in its programs and has 65 000+ alumni.

This is an opportune time to address these issues because the Indonesian government has identified “effective prevention and eradication of corruption” as a national priority, beginning in 2019.

To begin to achieve this goal, the Government enacted the National Strategy for the Preven-tion and Eradication of Corruption and announced that the Corruption Eradication Commission (KPK) will lead its implementation.

The project’s three objectives will respond directly to the Indonesian need for support in a broad range of anti-corruption activities.

Advancing the Indonesian Fight Against Corruption

PROJECT:


C3.

Indonesia 4 years 0,80 M USA


East-West Center in cooperation with the Indonesian Institute for Independent Judiciary (LeIP)

www.eastwestcenter.org

61

To enhance the capacity of Indonesian judiciary, governmental institutions, the National Anti-Corruption Commis-sion and private enterprises to combat corruption more effectively



• Laws and literature reviews were conducted including the laws on Anti-Corruption Court, Court’s internal regulations and Government Regulations on the organization of the Anti-Corruption Court. The review found issues inherent in legislation that contributed to problems in its implementation

• 18 people consisting of judges, advocates, government officers, former parliament members, and Non-Government Organiza-tions in Indonesia participated in a Focus Group Discussion on problems and

challenges facing the Anti-Corruption Court. The participants provided constructive input and support for the project

• 20 key individuals were interviewed repre-senting various backgrounds, including judges, registrars, court managers, prosecu-tors, Anti-Corruption Commission, advocates, parliament members, government officials, and Non-Governmental Organizations. The findings present some issues on the court administration including uneven workload, inefficiency and lack of supervision which hinder the effective functioning of the courts

• 964 Anti-Corruption Court decisions of the first instance courts and the Supreme Court from 2016-2019 were collected and are cur-rently being analyzed in a quantitative study

• 14 participants representing 5 business asso-ciations, companies and Non-Governmental Organizations in Indonesia participated in a Focus Group Discussion, which aimed to introduce the project and to discuss anti- corruption measures in the private sector

Impact

• Engagement and substantial discussions with the key stakeholders of the Anti-Corruption Courts have contributed to the increase of knowledge and recognition from stakehold-ers about the systemic problems that hinder the effective functioning of the Anti-Corrup-tion Courts in Indonesia

• Involvement of the key stakeholders particu-larly from the business associations has contributed to the increased support and commitment from the private sector to the project, particularly in the development of tools and measures to address corruption in private sector

62

Since 2014, the Turkish Integrity Center of Excellence (TICE) has been working on elevat-ing the awareness on corruption effects and developing tools to combat corruption in the private sector while also setting an example for the public sector with its content development and capacity building activities.

With this project at hand, TICE aims now to take its efforts to the next level and elevate the integrity risk management abilities of local companies to match the high “extended enter-prise integrity risk management” standards of multinational companies. TICE will contribute with two specific objectives:



The Ethics and Reputation Society (Etik ve İtibar Derneği – TEID) is a not-for-profit NGO founded in 2010 with competence in integrity risk management and anti-cor-ruption aiming to develop and encourage adherence to internationally recognized business ethics principles within the Turkish business environment. TEID acts as a point of reference for private sector companies to implement the principles of business ethics and with the public sector in the pursuit of a socio-economic envi-ronment that incentivizes compliance with these principles.

TEID has over 145 corporate members with a total yearly income exceeding 15% of Turkey’s GDP, employing more than 250.000 persons.

All corporate members are signatory of TEID Integrity Pledge, which is Turkey’s biggest cross-sectoral Collective Action initiative. TEID has also several roles and memberships in international anti-corrup-tion initiatives.

1. provide practical solutions that transform companies’ intent into impact by leverag-ing behavioral and institutional dimen-sions of integrity to therefore be in better accord with the extended enterprise integ-rity risk management priorities of Multi-National Companies (MNCs)

2. develop Collective Action to disseminate and incentivize standardized sustainable and responsible business conduct by build-ing alliances against corruption

TICE’s priority is to reach out to local compa-nies in selected sectors and cities. Large com-panies and MNCs operating in Turkey will play a leveraging role to help their supplier Small and Medium Enterprises (SMEs) to establish their own anti-corruption compliance program.

Leveling the Playing Field with the Turkish Integrity Center of Excellence - TICE

PROJECT:


C3.

Turkey 3 years 0,80 M Turkey


Etik ve İtibar Derneği – TEID

www.tice.org.tr

www.tice.org.tr

www.teid.org.tr

63

To level the playing field by increasing the extended enterprise risk manage-ment capabilities of multi-national cor-porations (MNCs) and local conglomer-ates by building alliances against corruption



• Published the “Ethics and Compliance Profes-sionals’ Role in Turkey” survey report as well as the survey report on the “Difficulties of Big Corporations in Third-party Integrity Risk Management in Turkey”

• Developed several partnerships with local, sectoral, regional and professional organiza-tions in order to expand TEID’s field of action

• Extended the project outreach through a series of 14 webinars organized in under 6 months with 1 000 online attendees partici-pating and more than 1 300 views on the TEİD YouTube channel

• Raised awareness on third-party integrity risks through several events and training ses-sions and developed tools to manage risks more efficiently

• Organized sectoral, regional and mixed focus group meetings with corporate members to understand their needs on ethics and compli-ance matters. A total of 21 companies and 36 representatives joined the focus group roundtables

• Developed products such as a due diligence form, the selfIN checklist for SMEs, an ethics glossary, training module contents on third-party risk management and the minimum implementation requirements on ethics and compliance for complying with the expecta-tions of big corporations

• Launched the first online edition of TEİD Academy’s Corporate Ethics and Compliance Management Certification Program which allowed for a wider geographic reach with 37 participants from 23 companies

• Participated in international events such as the B20, the Basel Institute on Governance workshops and the OECD Panel

Impact

• As a center of reference through surveys, focus groups, events, online webinars, tools and increased stakeholder engagement, awareness was raised and knowledge shared on third-party integrity risks

https://www.teid.org/wp-content/uploads/2020/10/Tu%cc%88rkiyede-Etik-ve-Uyum-Anketi-Raporu-2019.pdf

https://www.tice.org.tr/wp-content/uploads/2020/11/Annex-2.2.pdf

https://www.youtube.com/user/etikveitibar

https://www.tice.org.tr/wp-content/uploads/2020/10/TEID_DD-Formu.pdf

https://tr.surveymonkey.com/r/selfinMart2019

https://www.tice.org.tr/knowledge-center/intools/38567-2/

https://www.tice.org.tr/knowledge-center/intools/38567-2/

https://www.oecd.org/south-east-europe/programme/Collective-Action-Webinar-Building-Alliances-against-Corruption-in-South-East-Europe-Agenda.pdf

https://www.tice.org.tr/wp-content/uploads/2020/11/Annex-2.2.pdf

64

This project aims to support the efforts of the Ivorian Government and specialized agencies by encouraging and providing support to Small and Medium Enterprises (SMEs) in the imple-mentation of good corporate governance measures.

The first objective of this project is to raise awareness about the importance and benefits of implementing good corporate governance measures. Examples of good practices and ways to implement these practices will be pre-sented to participating SMEs through a year-long training scheme and the dissemination of a monthly newsletter.



The European Chamber of Commerce (Eurocham) in Ivory Coast (IC) was created in 2009 at the initiative of businesspeople and leaders, mostly companies and multinational groups established in Côte d'Ivoire.

The main activities of Eurocham aim at the follow-ing objectives:

• Representing the European business community in the Republic of Ivory Coast vis-à-vis the public authorities, corporate organizations and Euro-pean bodies

• Facilitating the development of business activi-ties originating from European countries

• Promoting industrial and commercial exchanges between the EU and the IC as well as European investments in IC

• Contributing to the improvement of the busi-ness climate and the use of good practices through constructive dialogue with the Ivorian authorities, in collaboration with other consular chambers and professional organizations

• Contributing to the economic integration of the sub region, the West African Monetary and Eco-nomic Union (UEMOA) and the Economic Com-munity of West African States (ECOWAS), in terms of trade and free movement of goods and services and sustainable development

• Being a source of information and networking for member companies,

• Providing technical and practical services to its members

• Carrying out concrete actions of advocacy and lobbying in support and defense of the interests of its members, as part of their specific common concerns

The second objective, after the training period, aims to provide support to 60 SMEs for three years. During this time, at least three good cor-porate governance measures will be imple-mented in each SME (one per year) with the help and support of an Expert Consultant.

At the end of the three years, by March 2024, all SMEs who have successfully implemented at least three good corporate governance mea-sures will receive the Certificate of Good Governance.

This certificate will serve as a competitive and commercial advantage for SMEs. The certifica-tion will be guaranteed by the private sector itself through the promotion of the Certificate to Eurocham’s members and partners.

PROJECT:


C3.

Ivory Coast 5 years 0,80 M Ivory Coast


Eurocham (Chambre de Commerce Européenne en Côte d’Ivoire)

African certification of corporate governance

eurochamci.com/fr/accueil

65

Encouraging the implementation of at least three good corporate governance measures by SMEs through the attribu-tion of a Good Governance Certification



• More than 4 000 companies were reached and awareness was raised on the African Cer-tification of Corporate Governance (ACCG) project through e-mail campaigns, newslet-ters and 20 meetings with stakeholders including all the main employer organiza-tions and the Ministry in charge of promoting SMEs

• The general public was also reached and informed of the existence of the ACCG proj-ect through several press releases and social media

• Consequently, 113 companies applied to par-ticipate in the project, of which 100 were selected as final participants

• Training sessions started in July 2020. Two seminars covering “Governance and Strategic Planning” and “Governance and isolation of the Manager” were conducted for 90 company managers. Attendance of these sessions enabled participants to raise their awareness of good corporate governance practices, build their capacity and share their experi-ence with other SME managers. Feedback from participants is highly positive

• To maintain contact and flow of information to participants and to promote good gover-nance practices to the larger public, 3 news-letters were drafted and widely shared to participants, shareholders and the general public. The newsletter that includes all topics covered during the training sessions with additional in-depth material can be viewed here as an example

• WhatsApp groups for training participants were set-up to allow participants to share experiences and information, to maintain a strong relationship between governance experts and participants, and to easily and regularly disseminate documentation on good corporate governance practices

Impact

• Participants, stakeholders and the general public developed an awareness of topics related to good corporate governance, a topic that is very rarely discussed in Ivory Coast

• Although the training sessions are not yet completed, we have noticed a strong interest for good corporate governance practices from programme participants. Feedback showed us that some participants have already started implementing new measures to improve their company’s governance

https://eurochamci.com/assets/files/newsletter-accg-n%C2%B02.pdf

66

The project titled “Scaling up Anti-Corruption Collective Action within Global Compact Local Networks” aims to:

1. mainstream Collective Action and enhance its understanding and implementation locally

2. mobilize multi-stakeholder efforts to iden-tify and develop plans to address corruption challenges within a country/sector, and

3. engage with governments and other stake-holders to enhance public-private coopera-tion in fighting corruption

To this end, the project will adopt a three-pronged approach:

1. development of an Anti-Corruption Collec-tive Action Playbook for Global Compact Local Network(s) (GCLN) to mainstream



The Foundation for the Global Compact was established in 2006 and registered as a 501(c) (3) non-profit organization under New York State law. The Foundation is based on the principle that transparency, integrity and public-private collaboration is essential to finding lasting solutions to pressing global problems.

The Foundation supports the activities of the United Nations Global Compact including fundraising, outreach and engagement with business stakeholders. This is a policy and engagement platform for businesses that are committed to aligning their operations and strategies with the Global Compact’s ten universally accepted principles in the areas of human rights, labor, environment and anti-corruption.

the understanding and uptake of Collec-tive Action

2. global launch and roll-out of the Playbook to enable Local Networks in understanding and using the Collective Action methodol-ogy to identify and address corruption issues

3. support select GCLNs in their Collective Action initiatives. Underlying this approach will be an overarching goal of facilitating public-private cooperation on Collective Action through policy dialogue and engagement with governments and non-business stakeholders

The project will endeavor to mainstream Anti-Corruption Collective Action and enable GCLNs to engage the private sector and other stake-holders in understanding, initiating and sup-porting Collective Action.

Scaling up Anti-Corruption Collective Action within Global Compact Local Networks

PROJECT:


C3.

Global 4 years 1,70 M USA


Foundation for the Global Compact

http://www.globalcompactfoundation.org/

67

To enable Local Networks to engage the private sector and other stakehold-ers in Anti-Corruption Collective Action and to facilitate public-private coopera-tion through policy dialogue and engagement with governments and non-business stakeholders



The Anti-Corruption Collective Action Working Group composed of Local Network representa-tives was launched in April 2020.

Through consultations the Working Group contributed to the development of a draft Anti-Corruption Collective Action Playbook focused on developing, implementing and sustaining Collective Action initiatives.

4 Local Networks launched Collective Action initiatives in June 2020.

Global Compact Network Brazil

• Coordinated and contributed to guidelines for companies to face the pandemic includ-ing Collective Action related recommenda-tions

• Launched the Anti-Corruption Collective Action Advisory Committee with 21 high level specialists

• Carried out an “Ideation Meeting” with 35 participants

Global Compact Network India

• Organized a series on “Shaping a Sustainable Business Post COVID” that encouraged busi-ness to maintain integrity and strengthen Collective Action during the crisis

• Organized a webinar on “Transparency, Ethics and Integrity in the Healthcare and Pharma-ceuticals Sector”

Global Compact Network Kenya

• Held meetings with stakeholders leading to two public petitions and a press conference to demand transparency and accountability from government related to COVID-19

• Developed database of Code of Ethics signa-tories and contributed to an op-ed and news releases on anti-corruption published in mainstream media

Global Compact Network Ukraine

• Conducted interviews and research and introduced the Network as a new actor in the topic of anti-corruption

• Carried out a Kick-Off Workshop with 12 participants

https://www.covidradar.org.br/en/recommendation-guide/

https://www.globalcompact.in/uploads/knowledge-center/1604490069international-panel-series-report.pdf

https://www.globalcompact.in/uploads/knowledge-center/1604490069international-panel-series-report.pdf

https://www.globalcompact.in/uploads/knowledge-center/1604489780international-panel-discussion-report.pdf



https://www.standardmedia.co.ke/health/article/2001383771/25-lobby-groups-petition-government-over-mishandled-covid-19-funds

http://www.globalcompactkenya.org/index.php/what-we-do/code-of-ethics-for-business-in-kenya

http://www.globalcompactkenya.org/index.php/knowledge-center/opinion-pieces/defeating-corruption-key-achieving-sdgs

68

This proposal aims to contribute to the devel-opment of a virtuous alliance between Small and Medium Enterprises (SMEs) and Public Enterprises and will focus on the co-creation of integrity environments for sustainable and inclusive growth.

We propose

1) to raise awareness about the importance of integrity as a condition for improving the competitiveness of SMEs and public companies in the energy sector in Argentina

2) to strengthen SMEs and public companies, through the incorporation and elevation of compliance standards; and



Fundación Poder Ciudadano, the Argen-tine chapter of Transparency Interna-tional, has almost 30 years of experience leading the fight against corruption and promoting transparency in Argentina.

Our mission: to promote citizen participa-tion, transparency and access to public information to strengthen the institutions of democracy through Collective Action.

Our "Integrity in the Private Sector" Pro-gram together with our expertise in public procurement, position us as a technical and legitimate voice to interact and medi-ate between the State and its suppliers in order to improve the integrity environment.

We are pioneers in working with Integrity Pacts and Multisector Integrity Agreements in the country, and recognized as a proac-tive organization aimed at promoting reform processes that uphold the princi-ples of integrity, transparency and ethics in the state and business relationship.

3) to promote preferential public policies and regulations in order to improve SMEs par-ticipation in public procurements, such as decartelization mechanisms and fight against corruption

We will evaluate the levels of integrity of SMEs and public companies in the energy sector, allowing us to create a training and support system for SMEs that enables them to adapt their structures to current legal obligations and access to good practices and international standards in terms of compliance.

We will build a broad alliance between civil society, sector representatives and specialists to influence decision makers to generate pref-erential public policies and increase the partici-pation of SMEs in public procurement pro-cesses and improve their competitiveness

Virtuous alliance: SMEs and public enterprises Co-creating environments of integrity for sustainable and inclusive growth

PROJECT:


C3.

Argentina 3.5 years 0,80 M Argentina


Fundación Poder Ciudadano

http://www.poderciudadano.org/

69

To improve integrity environments in the State-Market relationship, strengthening SMEs and Public Enterprises in the energy sector, in Argentina


KEY ACTIVITIES (JANUARY 2020 – SEPTEMBER 2020):

• A Project Advisory Council was created to strengthen project activities, generate advo-cacy strategies and build alliances by bring-ing together various specialists and high-level stakeholders such as anti-corruption specialists, academia, energy sector repre-sentatives, chambers of commerce and pro-motors

• To establish comprehensive and in-depth knowledge of the energy sector and create strategic alliances to achieve the project goals, 27 meetings were held with energy multinational companies, small and medium enterprises, state-owned enterprises from different provinces, energy business associa-tions, chambers of commerce, specialists in the energy sector, and compliance or anti-corruption civil society organizations

• 4 Collaboration Agreements were signed with various organizations to promote the initiative and reach more beneficiaries

• Using an adaptation of Transparency Interna-tional’s methodology which takes into account the Argentinian legal framework together with Advisory Council recommenda-tions on sustainable integrity and corporate responsibility, a study is in progress on the development and implementation of integ-rity programs and transparency policies in 250 energy sector companies and its value chain

Impact

• Through the engagement with business asso-ciations, companies and stakeholders, the first steps were taken to raise awareness about the importance of integrity and trans-parency in the energy sector to achieve greater sustainability and competitiveness of the companies in the sector, especially small and medium enterprises and state-owned enterprises

https://www.ahkargentina.com.ar/actualidad/news-details/el-centro-de-competencia-compliance-fortalece-sus-alianzas-para-la-cooperacion

https://eur01.safelinks.protection.outlook.com/?url=http%3A%2F%2Fadeera.com.ar%2Fnews.aspx%3Fid%3D16614&data=04%7C01%7Cprojects.integrityinitiative%40siemens.com%7Ce037332e6b784d96e76b08d8e5853087%7C38ae3bcd95794fd4addab42e1495d55a%7C1%7C0%7C637511707499229228%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C1000&sdata=EMWLk0dKB36041ZAnpywuENo%2FghNl%2Brq7r%2FyGVUhE1Q%3D&reserved=0

https://eur01.safelinks.protection.outlook.com/?url=http%3A%2F%2Fadeera.com.ar%2Fnews.aspx%3Fid%3D16614&data=04%7C01%7Cprojects.integrityinitiative%40siemens.com%7Ce037332e6b784d96e76b08d8e5853087%7C38ae3bcd95794fd4addab42e1495d55a%7C1%7C0%7C637511707499229228%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C1000&sdata=EMWLk0dKB36041ZAnpywuENo%2FghNl%2Brq7r%2FyGVUhE1Q%3D&reserved=0

https://eur01.safelinks.protection.outlook.com/?url=http%3A%2F%2Fwww.eticaycompliance.com.ar%2Ffirma-de-acuerdo-marco-entre-aaec-y-poder-ciudadano%2F&data=04%7C01%7Cprojects.integrityinitiative%40siemens.com%7Ce037332e6b784d96e76b08d8e5853087%7C38ae3bcd95794fd4addab42e1495d55a%7C1%7C0%7C637511707499229228%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C1000&sdata=f0ymQchVvIvFGRUDlicjJNXgj1xuI2pH5LhWBSzhXaw%3D&reserved=0

70

An enabling environment accompanied by rule of law and enhanced compliance capacity of market players must go hand in hand to pro-mote a high level of corruption-free society. Business Integrity Society (BIS) aims to achieve the overall project goal by addressing the fol-lowing two key objectives during its project years from October 1, 2019 to September 30, 2022.

The first objective is to create an enabling envi-ronment through legislation revision and policy proposal on Environmental, Social, Governance (ESG) disclosure, Stewardship Code Guideline and Procurement Act that will lead to increase in transparency and integrity of Korean compa-nies when doing business.



The Global Compact Network Korea (GCNK), is the Local Network of the UN Global Compact (UNGC) operating in Korea, and aims to promote the UNGC Ten Principles in the areas of Human Rights, Labor, Environment and Anti-corruption. The GCNK has played a key role in dissem-inating those values to the UNGC partici-pants in Korea from the public, private and non-profit sectors by holding various workshops, conferences, conducting Cor-porate Social Responsibility (CSR) proj-ects, translating UNGC & CSR related materials, and promoting social dialogue since its establishment in 2007.

The GCNK specializes in developing coop-erative partnership among various stake-holders, and one of the key activities of GCNK is to gather, shape and develop col-lective voices of private and public sector organizations for further collaborative dialogue to advance corporate responsi-bility in the areas of Human rights, Labor, Environment and Anti-corruption.

The second objective is to incorporate effective compliance systems and enlarge anti-corrup-tion capacity in all levels of management including CEOs, executives and working levels by effective training, tool and guidance. The anti-corruption training programs will cover cross sectors as well as focus on healthcare and energy industry.

This project will invite key players in the market including National Assembly, Government Min-istries, National Pension Funds, Companies, Business Associations, Civil Society and Aca-demia to successfully implement activities and maximize the project impact.

Business Integrity Society (BIS)

PROJECT:


C3.

Republic of Korea 3 years 0,80 M Republic of Korea


Global Compact Network Korea in cooperation with the Korea Sustainability Investing Forum (KoSIF)

http://www.unglobalcompact.kr/

71

An enabling environment accompa-nied by rule of law and enhanced com-pliance capacity of market players must go hand in hand to promote a high level of corruption-free society



• The Business Integrity Society (BIS) launching ceremony took place on October 24, 2019, at the Grand Ballroom of the Federation of Korean Industries, as part of the Korea Lead-ers Summit 2019. More than 350 representa-tives and delegates from the Korean govern-ment, international organizations, civil society, academia, and UNGC member companies attended the event

• A policy dialogue roundtable was held with Environmental Social Governance (ESG) experts from pension funds, data providers, and non-profit organizations to discuss the adoption of the Stewardship Code and the inclusion of anti-corruption considerations in key management issues of the pension funds

• A total of 113 National Assembly candidates participated in the policy inquiry question-naire and anti-corruption pledge, 48 of whom were elected

• Official Engagement Letters were sent to the four major pension funds followed by bilateral meetings to encourage more active engagement and leadership on the part of the pension funds

• The BIS team held multiple briefing sessions, seminars, and bilateral meetings with UNGC member companies to encourage participa-tion in the project and to raise awareness of anti-corruption issues among Korea’s busi-ness leaders

• 18 global trends posts, 16 research papers, 5 event and outcome reports and 35 news articles were posted on the BIS website

Impact

• The Teachers Pension and Government Employees Pension adopted the Stewardship in January and February 2020 respectively

• With the participation of 113 National Assembly candidates in the policy inquiry questionnaire and pledge, the BIS team fos-tered meaningful conversation and engage-ment for promoting ESG disclosure and bills in the legislature

• The three major pension funds that adopted the Stewardship Code fully acknowledge the importance of anti-corruption elements in corporate management and are committed to its implementation

http://sc.cgs.or.kr/eng/participation/investors.jsp

72

Within the five years of the project, IACA will train and educate participants in its academic degree programmes, Summer Academy train-ings at IACA, Regional Summer Academy (RSA) and Regional Alumni Conference.

Students and participants will be provided with a neutral platform for learning with innovative curricula in a unique, international, interdisci-plinary, and inter-sectoral setting. Educational activities during academic studies, trainings as well as the RSA and Regional Alumni Confer-ence, will include practice oriented techniques which will drive incremental change and impact, including compliance and AC labs, pan-els and roundtable debates, field trips, ethical dilemma trainings, simulation games, industry specific assessments, and Collective Action workshops.



The International Anti-Corruption Acad-emy (IACA) is a pioneering institution that aims to overcome current shortcom-ings in knowledge and practice in the field of anti-corruption and compliance. The organization intends to empower and enable professionals for the compliance challenges of tomorrow.

The Academy provides a new, holistic and collective approach to anti-corruption education and research, delivers and facil-itates anti-corruption training courses for practitioners from all sectors of society, and provides technical support and assis-tance to a wide variety of stakeholders. International cooperation, the sharing of knowledge and experiences, and mutual support are fundamental aspects of IACA’s mandate.

The IACA became an international organi-zation on March 8, 2011. To date, it com-prises a constituency of 80 Parties, includ-ing four international organizations. In addition, IACA seeks broad partnerships with states, private sector institutions, international and non-governmental orga-nizations, as well as civil society

World class practitioners and academics will be involved.

The RSA and the Regional Alumni Conference will be organized in parallel in Africa, in a region of high impact.

These two activities will contribute to increas-ing the anti-corruption and Collective Action initiatives in the region as well as to growing and strengthening the existing alumni network.

The project will place particular emphasis on enhancing the impact of participants’ activi-ties. For this purpose impact driven academic activities will be used together with incentives, and follow-up or monitoring mechanisms.

Building upon IACA’s institutional strengths, the ultimate goal of the Project is to put theory and knowledge into practice with real impact.

PROJECT:


C3.

Global 5 years 1,50 M Austria


International Anti-Corruption Academy

“GEAR UP” to fight corruption

http://www.iaca.int/

http://www.iaca.int/

73

To empower professionals to fight cor-ruption, improve compliance, pursue Collective Action initiatives, and strengthen the anti-corruption alumni network



• The admission process for the 2020 intake was finalized with both academic pro-grammes starting in October 2020

• In the first academic year, the project pro-vided 6 full scholarships and 6 partial schol-arships for the Masters in Anti-Corruption

Studies (MACS) 2020 programme, and 5 full scholarships and 5 partial scholarships for the International Master in Anti-Corruption Compliance and Collective Action (IMACC) 2020 programme

• All scholarships were awarded to highly qual-ified students from Least Developed Coun-tries and Emerging Markets on a merit-based selection process

• 68 tuition fee waivers were awarded to highly qualified participants from Least Developed Countries and Emerging Markets

• The International Anti-Corruption Summer Academy 2020 was successfully imple-mented in an online format with 98 partici-pants from all over the world taking part in the programme

Impact

• By making the IMACC and MACS programmes available to students and professionals from Least Developed Countries and Emerging Markets through scholarships and tuition fee waivers, enhanced knowledge and skills will lead to the initiation of activities to fight cor-ruption in their home countries and help to create level playing fields

• Impact stories show that participants of IACA’s Summer Academy are using their newly acquired skills in preventing corruption and generating positive outcomes for clean business environments in their home coun-tries

74

The Project activities are aimed at achieving 2 objectives:

1. Creating an enabling favorable legal envi-ronment and implementing international anti-corruption obligations by encouraging the Government to incorporate interna-tional anti-corruption standards into the laws of Kazakhstan by amending certain provisions of its anti-corruption legislation

2. Promoting international anti-corruption standards and clean business practices in corporate and academic circles by bringing draft amendments before the Government to introduce additional legislative require-ments for companies to develop, adopt and implement anti-corruption standards and internal control, ethics and compli-ance systems



The Chamber of Legal Consultants “Kazakhstan Bar Association” is a self-regulated organization established on the basis of compulsory membership for the purpose of regulating the activity to pro-vide legal assistance and control over the activities of their members with respect to their compliance with the requirements of the legislation of the Republic of Kazakh-stan on advocacy and legal assistance, rules and standards of the Chamber, the Code of Professional Ethics included in the Register of the chambers of legal consultants.

Representatives of the private sector, public administration, academia and students will be trained through online and offline project training.

Findings made as a result of diagnostics and OECD reporting will be used for promotional materials on the implementation of anti-cor-ruption standards in business, the develop-ment of a culture of integrity and ethics and compliance in business.

Owing to the project, 40% of companies in piloted sectors will implement and actively use a complete and high-quality compliance system.

Implementation of a systematic, structured and effective policy of improving business integrity and developing corporate governance in Kazakhstan according to OECD standards

PROJECT:


C3.

Kazakhstan 3 years 0,80 M Kazakhstan


Kazakhstan Bar Association in cooperation with the Legal Policy Research Centre

http://www.kazbar.org.kz/

75

The project goal is to reduce the level of corruption in Kazakhstan by imple-menting a systematic, structured and effective policy of improving business integrity and developing corporate gov-ernance according to OECD standards



• A concept package on the draft Law of the Republic of Kazakhstan on Amendments to Legislative Acts on Combating Corruption in Business was developed, including draft text and a Comparative Table for promotion in the Government and Parliament of the Republic of Kazakhstan

• A report on Kazakhstan's performance in 13 key areas based on the new OECD meth-odology for the 5th Round of Monitoring under the Istanbul Action Plan and an alternative report on business integrity in Kazakhstan was prepared

• These 2 reports not only assess the state of Kazakhstan's legislation and law enforcement practice in combating corruption in the pub-lic and private sectors, but also inform the international community and the national government about the current state of affairs in the country, the efforts of the Government and civil society, and recommendations aimed at improving legal policy and practical tools

• A Facebook page was created as a platform to exchange views and information on com-pliance issues in Kazakhstan's business sector

• The development of analytical and informa-tive material was initiated to create under-standing of anti-corruption standards in busi-ness, to promote internal controls, business ethics and compliance in business, and to develop a broad-based culture of integrity

Impact

• At this early stage of the project, constructive dialogue was opened with the Anti-Corrup-tion Agency and the National Chamber of Entrepreneurs, who are the main drivers of change in business integrity, business ethics and compliance

• Some proposals and recommendations for legislative change found understanding and support from the Anti-Corruption Agency

76

The project intends to support the creation of a level-playing field and fair market conditions in three pilot countries from the Adriatic Region (Bosnia and Herzegovina, Croatia and Serbia) in order to enhance competitiveness and integ-rity in a sustainable and inclusive way. It aims to gather government officials, business repre-sentatives, civil society and academia to form a “Collective Action” to address country-specific drawbacks by applying international standards, by:



The Organisation for Economic Co-oper-ation and Development (OECD) is an international organisation that works to build better policies for better lives. OECD’s goal is to shape policies that foster prosperity, equality, opportunity and well-being for all. The OECD draws on almost 60 years of experience and insights to better prepare the world of tomorrow. Together with governments, policy mak-ers and citizens, the OECD works on establishing international norms and find-ing evidence-based solutions to a range of social, economic and environmental challenges.

The OECD has been working with South East Europe since 2000. Governments, business leaders and civil society have worked together under the leadership of the OECD to meet economic challenges, including weathering the global economic and financial crisis and preparing for European Union accession. The OECD has supported the region to design and imple-ment reforms to foster private sector development and competitiveness, attract more and better investment and raise liv-ing standards.

• Raising awareness about OECD standards and good practices of anti-corruption, integrity and fair competition for competitiveness with governments, business and civil society

• Building capacity and foster the implementa-tion of concrete OECD recommendations with regard to the transparency and effi-ciency of anti-corruption and competition authorities

• Promoting the latest knowledge on interna-tional standards and practices in the area of anti-corruption and integrity for competitive-ness in academic curricula

PROJECT:


C3.

Bosnia and Herze govina, Croatia and Serbia 3 years 1,70 M France


Organisation for Economic Co-operation and Development

Fair Market Conditions for Competitiveness in the Adriatic Region

http://www.oecd.org/south-east-europe/

http://www.oecd.org/south-east-europe/

77

Help create fair market conditions in the Adriatic Region by promoting OECD standards via a Collective Action com-munity, by supporting the design and implementation of actionable policy recommendations



• The OECD Project on Fair Market Conditions for Competitiveness in the Adriatic Region made use of various tools to ensure the implementation of key events and meaning-ful engagement with project stakeholders on essential topics

• Most prominently, a comprehensive webinar event on Collective Action – Building Alli-ances Against Corruption in South East Europe brought together over 200 partici-pants and allowed for an insightful exchange between experts, government practitioners, the private sector and academia on best practices in using Collective Action to fight corruption

• Furthermore, the Project has aligned its sub-stantive work with the assessment processes under the OECD flagship Competitiveness Outlook for South East Europe, in particular with regard to insights and recommenda-tions under the Anti-Corruption, State-owned Enterprises and Competition Policy Dimensions

• Moreover, 6 insightful Policy Briefs were pub-lished on the project website and shared with policy makers across the Adriatic Region

• Throughout its first year, the project estab-lished a strong engagement with the aca-demic community in the Adriatic Region. Nine pilot Universities are formally part of the project implementation network and a comprehensive stocktaking exercise of how corruption and integrity issues are addressed in academic curricula in the Adriatic region has been conducted to form the base for future engagement between the OECD and academia in the context of this Project

Impact

• Despite the inherent challenges due to the COVID-19 pandemic, a Collective Action com-munity for the purposes of the Project was created. Policy makers, businesses and civil society have a clear understanding of the benefits of Collective Action and how OECD instruments can support creating fair market conditions

• The proactive outreach campaign by the OECD to key universities in the Adriatic Region allowed to develop from the ground up a brand new and fully operational net-work of engaged university contact points, thus successfully institutionalizing the collab-oration with academia

• Government officials and academics have gained insights of best practices and how to efficiently and effectively address the issues of Public Procurement, Education for Integrity, Anti-Bribery, Anti-corruption in State-owned Enterprises and Competition Assessment

https://www.oecd.org/south-east-europe/programme/fair-market-conditions-adriatic.htm




https://www.oecd.org/south-east-europe/programme/competitiveness-south-east-europe.htm

https://www.oecd.org/south-east-europe/programme/competitiveness-south-east-europe.htm


78

This project focuses on interventions using a Collective Action approach. The purpose is to strengthen business integrity capacity, contrib-uting to reducing corruption in business activi-ties, resulting in enhanced business practices in Mozambique.

The first objective is to initiate and maintain the formation of a Coalition for Organisational Integrity (COI) in Mozambique.

The second objective aims to strengthen ethics management capacity of the participants of the COI by training its representatives on insti-tutionalising business integrity.



The Ethics Institute is an independent institute producing original thought lead-ership and offering a range of services and products related to organizational ethics.

Vision: Building an ethically responsible society

Mission: Enabling and supporting the cultivation of ethical organisations

What we do: We pursue our vision and mission through thought leadership and an organizational ethics-related offering, including training offerings, advisory services, assessments, audit services, products and videos The third objective is focused on the develop-

ment and implementation of an ethics and anti-corruption training program for small-and-medium enterprises (SMEs).

In sum, this project aims to establish an effec-tive Collective Action platform to affect signifi-cant change in business conduct, as thought-leaders engage in the sharing of best practices. This could result in improved procurement, stakeholder management and relations between business and the public sector.

PROJECT:


C3.

5 yearsMozambique 0,80 M South Africa


The Ethics Institute (TEI)

Collective Action to advance business integrity in South Africa

http://www.tei.org.za/

79

To enhance the ease of doing business by forming a coalition for organiza-tional integrity and expanding busi-ness ethics management capacity in Mozambique



• 48 discussions with large or multinational companies were conducted to introduce a Collective Action platform for organizational integrity in Mozambique, with positive responses from executives

• The Coalition for Organisational Integrity launch was hosted virtually on June 30, 2020 with 57 attendees

• To advance the prominence of the Coalition, a logo with the slogan “Together for Business Integrity” was developed and communicated on its website and other social media plat-forms like Facebook, Linked-In and YouTube

• To elevate capacity advancement and align with the Coalition’s purpose, two best prac-tice sharing sessions were hosted, with dis-cussions focused on Conflicts of Interests and Ethics and Compliance

• Ethics awareness training conducted for the Beira Municipal Recovery and Resilience Plan team is a direct outcome of the formation of the Coalition, resulting in heightened aware-ness of organizational responsibility and accountability to the citizens of Mozambique

• Supporting the extension of knowledge resources, a Portuguese Codes of Ethics Handbook was launched

• The first ever Ethical Culture Maturity Indica-tor in Portuguese was implemented

• Ordem dos Contabilistas e Auditores de Moçambique continues to strengthen ethics management capacity for accountants and auditors and implemented a Code of Ethics for Professional Accountants

• A total of 6 delegates attended TEI’s Ethics Officer Certification Programme, resulting in an additional five certified ethics officers and potential trainers

Impact

• Engagements with company representatives continue to be positive. Business leadership repeatedly share their belief that the inter-vention is timely

• Coalition organizations appear to have a desire to acquire ethics management skills. This may be interpreted as a strong indicator that the private sector in Mozambique embraces the objectives of the project

• Continued requests from representatives to be considered for the ethics officer certifica-tion programme are received

http://www.coi.org.mz/

http://www.coi.org.mz/

https://www.facebook.com/COIMOZAMBIQUE

https://www.linkedin.com/company/coalition-for-organisational-integrity/?viewAsMember=true

https://www.youtube.com/channel/UCItBO6YNDcsus70FlcWYmfQ

80

Based on TEI’s experience with local govern-ment, it was established that ethical challenges at municipal level will not be solved without an intervention on the ethics of political leader-ship. TEI and relevant national government structures conceptualised an intervention for developing a national code of ethical gover-nance in municipalities. The code should be the outcome of a structured national dialogue and consultation, should have broad societal legitimacy, and should give practical guidance on the ethical intricacies faced by political and administrative leaders in municipalities.

The second objective is the implementation of an Ethically Aware Supplier Induction (EASI) training and accreditation programme that will allow small-and-medium enterprises (SMEs) to



The Ethics Institute is an independent institute producing original thought lead-ership and offering a range of services and products related to organizational ethics.

Vision: Building an ethically responsible society

Mission: Enabling and supporting the cultivation of ethical organisations

What we do: We pursue our vision and mission through thought leadership and an organizational ethics-related offering, including training offerings, advisory services, assessments, audit services, products and videos be accredited as ‘Ethically Aware Suppliers’.

The aim is to create a network of large organ-isations that are committed to utilising ethi-cally aware suppliers, and a network of trainers who will continue to train suppliers in their organisations resulting in a culture of ethical business and co-accountability escalating across all procurement relationships.

The third objective aims to build capacity in the Gauteng Provincial Government to support municipalities’ ethics initiatives. The develop-ment of an ethics management monitoring and reporting tool will assist ethics officers structure interventions and improve reporting to oversight structures. This will ensure exter-nal oversight of ethics remains a drive of improved governance.

PROJECT:


C3.

5 yearsSouth Africa 1,00 M South Africa


The Ethics Institute (TEI)

Collective Action to advance business integrity in South Africa

http://www.tei.org.za/

81

Using strategic levers of ethical change to combat municipal and pro-curement corruption in South Africa



• The Local Government Ethical Leadership Ini-tiative has kicked off with the purpose of developing and institutionalizing a Code for Ethical Governance in Local Government over the next 5 years

• The technical Working Group was formed with members from the relevant government and civil society organizations on-board, and the Advisory Committee is on the verge of being established

• The Ethically Aware Supplier Induction pro-gramme was launched at an Ethics in the Supply Chain webinar on July 25, 2020 where it was promoted to more than 80 business representatives

• Under the funding of this project, 97 partici-pants were given access to the programme. Of these, 79 were from SMEs and 18 were from large organizations

• In the Gauteng Province collaboration was formalized for capacitating the Gauteng Pro-vincial Government to assist the Gauteng municipalities with improving their ethics management capacity

• In 12 virtual capacity building sessions much progress has been made to capacitate the 17 provincial relationship managers

• Together with these relationship managers, 26 virtual meetings were held with the municipalities, cementing relationships between the province and the municipalities, and progressing the implementation of the ethics and anti-corruption strategies of the municipalities

• Two learning forums were held on Ethics in Municipal Procurement and Ethics in the Municipal Appointment Process

Impact

• The project expands spheres of influence and creates a collective platform to solve challenges

• The Local Government Ethical Leadership Initiative is a rallying point for all spheres of society to solve local ethical leadership

• The Ethically Aware Supplier Induction pro-gramme helps businesses expand their ethics impact into their supply chains

• The Gauteng Municipal Integrity Project is building a community of ethics practitioners and improving ethics initiatives in the province

http://www.easi-online.org/

http://www.easi-online.org/

82

The project with its objectives and activities is the result of POLMED’s experience in the market and its observation of the healthcare system and participants needs.

The MedKompas III project is highly innovative in respect of its size and impact on the health-care system. It foresees numerous trainings on anti-corruption law and ethical standards of cooperation with 1200 participants, several public debates, many anti-corruption system implementations where each implementation will have an impact on around 700 individuals employed in a given hospital.



POLMED is the biggest and the most rec-ognized organization representing manu-factures and distributors of medical devices in Poland. It represents the com-mon interests of its members, offers sup-port in all matters regarding the function-ing of the Polish medical devices market, legal solutions etc.

POLMED acts as a source of information for its members, protects their interests and conveys their views to the decision makers in the industry and the govern-ment. POLMED has been involved in the promotion of ethical business conduct among medical devices market partici-pants since 2010. It strongly emphasizes the importance of the medical devices industry’s Code of ethics, which is to be respected by all member companies. POLMED is a member of MedTech Europe.

The MedKompas III project focuses on two main objectives which are:

Objective 1: Creating fair market conditions by reducing the susceptibility to corruption among the Polish healthcare system participants

Objective 2: Prevention of illusionary imple-mentation of anti-corruption procedures in hospitals which will contribute and lead to creation standards for fair market conditions

Both objectives are crucial in fighting corrup-tion and raising the importance of compliance in healthcare systems.

PROJECT:


C3.

4 yearsPoland 0,69 M Poland


The Polish Chamber of Commerce of Medical Devices (POLMED)

MedKompas III

http://www.polmed.org.pl/

83

To create fair market conditions and reduced susceptibility to corruption among the Polish healthcare system participants by providing education on new planned anti-corruption legisla-tion as well as guidelines already implemented by the Healthcare sector



• 8 in-person training sessions on anti-corrup-tion and ethical issues were held in Oleśnica, Wrocław (2 groups), Warsaw (4 hospitals) and Zakopane

• In response to the COVID-19 pandemic, online training sessions were developed and implemented with the added benefit of making recorded training sessions available to hospital employees who could not partici-pate in the scheduled live sessions

• A further response was the development of updated training content covering new compliance risks in healthcare associated with the pandemic, such as simplified public tender procedures

• 198 healthcare employees including hospital directors, hospital management, doctors and nursing staff participated in the training

• 62% of employees trained indicated in their feedback a reduced susceptibility to corrup-tion which would in turn result in a change in behaviour

• A comprehensive set of updated model documents for healthcare facilities suitable for adaptation and implementation of anti-corruption compliance systems in target healthcare facilities were developed

• An adaptation of the model documents was used to implement a full compliance system in the Warszawski Szpital dla Dzieci hospital in Warsaw, with over 400 employees and healthcare professionals now governed by these internal anti-corruption procedures

• The project and the associated compliance system for healthcare facilities was actively promoted on the MedKompas website, at conferences and through various publications

Impact

• By increasing knowledge on the risks associ-ated with corruption through training and education, and by implementing anti-corrup-tion tools and systems into healthcare facili-ties, the susceptibility to corrupt behavior in the Polish healthcare system is reduced which helps in creating fair market condi-tions and a clean business environment

84

The project “Setting the Ground for Business Integrity in Bulgaria” ultimately aims at encour-aging the adoption of voluntary anti-corruption and compliance standards and fostering a cul-ture of integrity in business in Bulgaria.

The initiative will target the development and promotion of high-quality sectoral integrity standards in the key sectors of Energy, Industry and Healthcare, ensure pioneers to adopt and distribute them through their supply chains, and establish a better understanding of the need for business integrity in Bulgaria.

The proposed set of activities includes a partici-patory approach that includes all relevant stakeholders. TI will develop the sectoral integ-rity standards and ensure their endorsement by key business associations.



Transparency International (TI) – Bulgaria, being part of Transparency International – the global coalition against corruption, is a non-profit organi-zation working on promotion of integrity and fighting corruption in Bulgaria for more than 20 years.

TI’s mission is to unite the efforts of gov-ernment institutions, local authorities, private sector and media in order to carry out systematic reforms and take concrete action against the spread of corruption in the country.

TI’s vision is a world where governments, politics, business, civil society and the daily lives of people are free of corruption.

TI’s values are transparency, accountabil-ity, integrity, solidarity, determination, justice and democracy.

The project will map the targeted sectors and secure buy-in from at least three businesses that possess the potential to become pioneers of successful change.

TI will work with them to make sure the stan-dards are adapted to their needs and will engage actively in the development of a model for the further promotion of the same princi-ples and procedures through the pioneers’ sup-ply chain.

Finally, the project will advocate the impor-tance of the topic towards relevant institutions and provoke a more targeted dialogue with them.

PROJECT:


C3.

4 yearsBulgaria 0,75 M Bulgaria


Transparency International (TI) Bulgaria

Setting the Ground for Business Integrity in Bulgaria

http://www.transparency.bg/

85

Encourage the adoption of voluntary anticorruption and compliance stan-dards and foster a culture of integrity in business in Bulgaria, ultimately ensuring fair competition



Analytical and preparatory activities

• The project team conducted a comprehen-sive analysis of the deficiencies in Bulgarian legislation, existing integrity initiatives, failures and good practices in the 3 targeted sectors (Energy, Industry and Healthcare)

• Initial desk research was conducted to map key players in the 3 targeted sectors

Development of sectoral integrity standards

• The project implementation team started drafting sectoral integrity standards to be adopted on company level

Advocacy actions

• TI-Bulgaria initiated and implemented over 10 advocacy meetings with business associa-tions, trade unions and consulting companies

• Strategic cooperation between TI-Bulgaria and the Bulgarian Chamber of Commerce and Industry was established

• TI-Bulgaria engaged in advocacy meetings with key administrations and provided input on business integrity for the future anti-cor-ruption strategy

Impact

• Early impact of the project is mainly in raising awareness on a clean business environment

• Although the core activities had not yet started, during the first project year every opportunity was used within and beyond the project to advocate for business integrity

• The project strategy is to maintain and widen the group of stakeholders targeted by push-ing the topic and creating a snowball effect

86

Since 2015, UNODC has led “On the Level”, a Collective Action project in Colombia that brought together the public and private sectors to enhance corruption prevention and enforce-ment, supported by the UN Global Compact Colombian Network and the Secretary of Trans-parency of the Presidency.

Building on that, the new project will promote a culture of integrity and a better understand-ing of corruption in public procurement.

It will focus on two industries vulnerable to corruption: energy and healthcare.

In particular, the project will review existing legislation and public policy to identify corrup-tion risks and typologies and provide recom-mendations on improving public procurement



The United Nations Office on Drugs and Crime (UNODC) is a global leader in com-batting illicit drugs, transnational orga-nized crime and corruption. It is commit-ted to achieving health, security and justice for all by tackling such global threats, and by delivering legal and tech-nical assistance to prevent terrorism.

Established in 1997, the Office fulfils a three-fold mission: research and analysis to produce authoritative reports on man-dated areas; technical assistance to States in ratifying and implementing interna-tional treaties on drugs, crime and terror-ism, which includes developing domestic legislation consistent with these treaties; and training judicial officials.

in Colombia. Beneficial ownership will be addressed in this context.

The project will also promote the signing and implementation of Integrity Pacts involving representatives from public sector, energy and healthcare industries, guilds, small and medium sized enterprises (SMEs), as well as civil society organizations (CSOs).

The Pacts will underline the importance of transparency in public procurement and raise awareness on corruption’s impact on the Sus-tainable Development Goals.

The project will have a strong online communi-cation strategy to promote knowledge sharing and the dissemination of relevant tools on anti-corruption.

PROJECT:


C3.

4 yearsColombia 1,10 M Austria


UN Office on Drugs and Crime (UNODC)

On the Level: Business and Government against Corruption in Colombia (Phase II)

http://www.unodc.org/unodc/index.html

http://www.unodc.org/unodc/index.html

87

To promote a culture of lawfulness in public procurement in the energy and healthcare sectors in Colombia as a mechanism to prevent and fight corruption



• Launched "On the Level (Phase II)” on August 18, 2020 in a joint online event convened by the United Nations Office on Drugs and Crime and the Colombian Secretariat of Transparency to commemorate the National Day of the Fight against Corruption. The Vice President of the Republic of Colombia and ~300 representatives from the public sector, private sector and civil society participated

• Conducted 2 focus groups in June 2020 to learn about implementation difficulties and challenges relating to corruption risks. Rep-resentatives from public entities responsible for public policy on public procurement, the

Secretariat of Transparency of the Presidency of the Republic, and public officials responsi-ble for public procurement in healthcare and energy sector entities were in attendance

• Conducted 2 focus groups with company rep-resentatives from the energy and healthcare sector to discuss public procurement policy in Colombia

• Developed a diagnosis document on corrup-tion in public procurement with a focus on the healthcare sector in making an important contribution towards fighting corruption in the COVID-19 response plan

• Held three sessions of the Network of Com-pliance Officers with ~100 compliance offi-cers participating in each session. Compli-ance officers from companies in the project focus sectors were trained on strategies to prevent and fight corruption. The partici-pants also shared good practices and learned from each other

• Worked on the update of the “On the Level” website and the dissemination of good prac-tice and tools to build capacities of stake-holders to prevent and fight corruption

Impact

• Increased awareness of corruption in public procurement, enhanced capacity of small and medium-sized enterprises in the health-care and energy sectors, and increased acknowledgment of the importance of Collective Action in preventing and fighting corruption

https://hacialaintegridad.unodc.org.co/?lf=40&lng=es

https://hacialaintegridad.unodc.org.co/?lf=40&lng=es

88

The project will establish and implement an effective integrity education programme that fosters ethical decision-making in the private sector and empowers employees to serve as “ethics ambassadors” in companies.

The project’s most innovative aspects are: integrity education modules co-created by academics and business practitioners; student-focused teaching methods; and graduates who join the private sector as key ethics players.

The project will increase ethical commitment in the private sector by involving business managers in localizing education materials for universities and implementing on-the-job ethics courses that fit the work environments





of industries vulnerable to corruption (e.g. law firm, banks). It utilizes bottom-up and top-down approaches for the highest impact. Significantly, the project will establish a link between university education and practical training, ensuring that ethics education is an ongoing process continuing from the forma-tion to the career stage. Impact studies aimed at monitoring, evaluating and learning (MEL) will be carried out periodically to ensure goal attainment.

The project will be implemented in Pakistan, Kenya and Mexico, and will inform a global audience of educators and practitioners con-nected through UNODC’s worldwide networks.

PROJECT:


C3.

3 yearsGlobal (with focus on Pakistan, Kenya, Mexico) 1,00 M Austria


United Nations Office on Drugs and Crime (UNODC)

UNODC Global Integrity Education

https://www.unodc.org/unodc/index.html


89

To equip young graduates with ethical mindsets and strategies at the start of their careers in the private sector and empower them to become a driving force for ethical business



• Established business-academia working groups in Kenya, Mexico and Pakistan

• Created contextualized and UNODC-validated university integrity modules through the business-academia working groups

• Developed a methodology for virtual and blended training of trainers for lecturers, which includes an interactive discussion forum to facilitate exchange between lectur-ers

• Conducted a first virtual and blended training of trainers on the contextualized university integrity modules for 48 lecturers in Pakistan

• Organized a soft launch event at 8th Confer-ence of the States Parties to the United Nations Convention against Corruption in Abu Dhabi in December 2019

• Organized a virtual booth at the United Nations Global Compact Leaders' Summit in June 2020 with two sessions specifically dedicated to business integrity and education

Impact

• Enhanced dialogue and sharing of knowl-edge between academia and business repre-sentatives aimed at promoting integrity in the private sector through the working groups in Kenya, Mexico and Pakistan

• Increased knowledge and capacity of 48 lecturers in Pakistan on how to effectively teach integrity and ethics to students

• Increased awareness around education as a means to promote business integrity

90

Reducing opportunities for corruption and creating a culture of integrity by enhancing public-private dialogue and improving the legal framework against corruption.

Corporate integrity is rarely at the top of the agenda in the private sector and most private companies in Myanmar have not yet adopted codes of conduct or guidelines on corporate integrity. The lack of anti-corruption standards is slowing down development in most of the important economic sectors. For example, the licensing system in the extractive industries is open to corruption and risk of conflict of interest.





Bribery, particularly involving public officials, is reported as common in daily business and civilian interactions. Public-private dialogue and collaboration to design incentives for strengthening corporate integrity and coopera-tion have started recently but are only at early stages and are only concentrated in specific sectors.

To address the defined gaps, this project will promote the adoption of anti-corruption legis-lation; the development and adoption of codes and guidelines in the private sector; as well as the development of a culture of integrity in businesses in Myanmar.

PROJECT:


C3.

3 yearsMyanmar 0,80 M Austria



Strengthening the Integrity and Anti-Corruption Efforts of the Private Sector in Myanmar



91

To reduce opportunities for corruption and to create a culture of integrity by enhancing public-private dialogue and improving anti-corruption legal frameworks



• Held a series of webinars and regional exchanges on responsible business practices to strengthen the dialogue between the pri-vate sector, public sector and civil society as well as to engage stakeholders on both the supply and demand side of corruption

• Promoted the creation of a working group on business integrity through policy advocacy with the Anti-Corruption Commission in the framework of the consultation on the national anti-corruption strategy. The work-ing group includes representatives from the private sector, public sector and civil society

• Engaged with government authorities, the private sector and civil society on corruption risks in the context of COVID-19 and raised awareness for corruption risks in different sectors including the health sector

• Furthermore, the UNODC Country Office in Myanmar developed Guidelines on Preven-tion of Corruption during the Covid-19 Pan-

demic

Impact

• Increased awareness of the private sector’s vital role in preventing and fighting corrup-tion and the significant impact that corrup-tion has on the private sector and society as a whole

• Increased knowledge of anti-corruption laws and standards designed to promote integrity

• Enhanced public-private sector dialogue and the prioritization of anti-corruption on the Myanmar Government Agenda

https://www.unodc.org/documents/southeastasiaandpacific/Publications/2020/2020.10.14-Guidelines_on_Prevention_of_Corruption-English-Version-14-OCT-Updated.pdf

https://www.unodc.org/documents/southeastasiaandpacific/Publications/2020/2020.10.14-Guidelines_on_Prevention_of_Corruption-English-Version-14-OCT-Updated.pdf

92

Reducing corruption by strengthening anti-cor-ruption frameworks, public-private sector dia-logue, and private sector capacity to enhance integrity.

The UNODC project on “Strengthening the pri-vate sector capacity to prevent corruption and enhance integrity in the Arab Countries” aims to reduce opportunities for corruption by strengthening public sector anti-corruption frameworks, private sector capacity to enhance integrity, and by stimulating public-private sec-tor dialogue.

Project implementation will be guided by the United Nations Convention against Corruption (UNCAC) which represents the only legally binding universal anti-corruption instrument and covers many different forms of corruption.


The project will assist six Arab countries (Egypt, Iraq, Libya, United Arab Emirates and two addi-tional countries to be selected during the proj-ect implementation) to introduce legislative improvements to combatting corruption in the private sector; improve communication between the public and private sectors by pro-viding a common venue for further interaction, dialogue and knowledge sharing; and provide guidance to companies and Small and Medium Enterprises (SMEs) to develop their anti-corrup-tion code of ethics and compliance programmes.

PROJECT:


C3.

4 years 2,40 M Austria



Strengthening the private sector capacity to prevent corruption and enhance integrity in the Arab Countries

Egypt, Iraq, Libya and United Arab Emirates






93

To reduce corruption by strengthening countries’ anti-corruption frameworks, public-private sector dialogue, and pri-vate sector capacity to enhance integrity



• Conducted an assessment study of the legal framework for combatting and preventing corruption in the private sector in Iraq

• Provided recommendations to the Kurdistan Regional Government on the Draft Anti- Corruption Strategy

• Proceeded with the development of a corrup-tion risk assessment toolkit to support small and medium-sized enterprises to pin-point corruption risks in their area of operations

• Formed a subject-matter expert group to guide the corruption risk assessment toolkit development process

• Conducted the first online Expert Group Meeting to discuss the first draft of the risk assessment toolkit

• Organized a workshop in collaboration with the Egyptian Anti-Corruption Academy to increase the private sector’s awareness on anti-corruption measures and the channels to report corrupt practices and business chal-lenges

• Held a virtual session at UNODC booth at the United Nations Global Compact Leaders’ Summit in June 2020 with the aim of increasing the knowledge participants on the MENA region project and how companies can benefit from its activities

Impact

• Increased the awareness of SMEs in the region of the project objectives and activities

• Increased knowledge of a number of SMEs about integrity standards and channels to report corruption

• Established a dialogue among anti-corruption private sector experts within and outside the region on means to support SMEs to conduct corruption risk assessment and develop com-pliance programmes

94

The project aims to change the dynamics of the interaction between business and tax administrations and to deepen the cooperation between tax authorities and other law enforce-ment agencies in countering tax evasion and other financial crimes.

The project would promote the concepts of good tax governance and the importance of a transparent tax system for economic develop-ment and how law enforcement agencies and tax authorities can cooperate to counter the misuse of beneficial ownership and client-attorney privileges to counter evasion and money laundering.

The project will be developed with the view of attaining the following objectives:


1. Identifying and mobilizing stakeholders in national tax administrations and private sectors and setting out a research agenda

2. Drafting model national tax legislation and international tax agreements with an aim of strengthening country specific anti-avoidance rules, improving the effective-ness of the tax administrations to get access to information and fostering better cooperation between tax authorities and Multi-National Enterprises (MNE’s)

3. Creating a network of “ambassadors” of key institutions in Africa who will be able to disseminate and promote the outcomes from the project

PROJECT:


C3.

4 years 0,80 M Austria


Wirtschaftsuniversität Wien (Vienna University of Economics and Business)

Tax Transparency and Corruption

Nigeria, Ghana, Kenya, Rwanda, South Africa, Zambia, Uganda


WU (Vienna University of Economics and Business) is Europe’s largest Business and Economics University offering degree pro-grams as well as a wide range of special-ization areas and research opportunities. Project responsibility will be undertaken by the Institute for Austrian and Interna-tional Tax Law.

The Institute for Austrian and Interna-tional Tax Law is one of the world’s largest academic institutions engaged in the research and teaching of the tax law. The Institute has a longstanding tradition in organising international conferences and trainings both for practitioners and tax administrations.

http://www.wu.ac.at/taxlaw

http://www.wu.ac.at/taxlaw

95

The project aims to change the dynamics of the interaction between business and tax administrations and to deepen the cooperation between tax authorities and other law enforce-ment agencies in countering tax eva-sion and other financial crimes



In response to Covid-19

• 5 digital thematic focus groups where estab-lished for Beneficial Ownership, Client-Attor-ney Privilege, Cooperative Compliance, Inter-agency Cooperation, Unexplained Wealth Orders

• these virtual groups held 13 meetings as a lead up to the first virtual conference on September 23-24, 2020

• a high-level steering group of 7 focus coun-tries was created and now meets quarterly

• a brain-storming group was established with UNODC which met on October 21, 2019 and November 13, 2020

• a researchers group was created with the African Tax Institute

• a series of online conferences between May and July 2019 with African Tax Institute, International Chamber of Commerce and Commonwealth Association of Tax Adminis-trators on cooperative compliance

Main achievements were

• Bringing together over 200 officials from financial intelligence units, tax and customs, ministries of finance, justice and academics from 25 African countries, as well as the World Bank, African Tax Administration Forum, UNODC, African Union and busi-nesses

• Developing first draft focus group reports on the 5 priority issues

• Building strategic partnerships for Collective Action with key international organizations including the UNODC, World Bank and the IMF, African Tax Administration Forum, African Union and African Development Bank

• Reinvigorating discussions on cooperative compliance in Zambia, Kenya and Ghana

Impact

• Reinforced the network established during the previous project and established an open and trustful relationship between Vienna University of Economics and Business and focus countries

• South Africa and Uganda indicated that they are considering legislation on Unexplained Wealth Orders

96

D1.

96

Annex – Additional Siemens Reports

Annual Report 2020

Siemens has published the

Annual Report for the fiscal

year 2020. It provides

detailed information about

the business development of

the company, its earnings,

assets, and finances.

Annex – Additional Siemens Reports

Siemens Sustainability Information 2020 as Addendum to the Siemens Annual Report

The Sustainability Information 2020 provides on

144 pages a wealth of information about Siemens and

its activities and includes:

1. Siemens at a glance

2. Our sustainability management

3. Governance – responsible business practices

4. Environment – preserving nature and resources

5. Social – Contribution to people and society

6. Our sustainability indicators

7. Annex

97

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More information on Collective Action is available on www.siemens.com/collective-action

In addition to this report, Siemens publishes information on its activities in this field in its comprehensive Annual Report at the end of the fiscal year. This Siemens Integrity Initiative Annual Report 2020 has been compiled to the best of our knowledge and includes information that has been submitted to the Siemens Integrity Initiative Project Office through March 02, 2021.

Information provided in Section C is created and approved for external use by each Integrity Partner. This document contains links to other websites. Siemens is not responsible for the privacy practices or the content of other websites or information provided by its Partners.

Copyright Notice: © Siemens AG 2021, all rights reserved, without prior written consent of Siemens AG, Legal and Compliance, LC CO RFC CA, it is in particular, but not limited to, prohibited to modify, copy, reproduce, republish, upload, post, transmit or distribute in any way any material, including graphics of this Annual Report 2020.

Siemens AG Legal and ComplianceLC CO RFC CAWerner-von-Siemens-Str. 180333 MunichGermanyEmail: [email protected]

About Siemens Siemens AG (Berlin and Munich) is a global technology powerhouse that has stood for engineering excellence, innovation, quality, reli-ability and internationality for more than 170 years. Active around the world, the company focuses on intelligent infrastructure for buildings and distributed energy systems and on automation and digitalization in the process and manufacturing industries. Siemens brings together the digital and physical worlds to benefit customers and society. Through Mobility, a leading supplier of intelligent mobility solutions for rail and road transport, Siemens is helping to shape the world market for passenger and freight services. Via its majority stake in the publicly listed company Siemens Healthineers, Siemens is also a world-leading supplier of medical technology and digital health services. In addition, Siemens holds a minority stake in Siemens Energy, a global leader in the transmission and genera-tion of electrical power that has been listed on the stock exchange since September 28, 2020. In fiscal 2020, which ended on Septem-ber 30, 2020, the Siemens Group generated revenue of €57.1 bil-lion and net income of €4.2 billion. As of September 30, 2020, the company had around 293,000 employees worldwide.

Further information is available on the Internet at www.siemens.com

www.siemens.com/collective-action

mailto:office.integrityinitiative%40siemens.com?subject=

http://www.siemens.com

siemens integrity initiative annual report 2020

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